SEC Form 5 · accession 0001354488-16-006656
Sincerity Applied Materials Holdings Corp. · SINC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dick Kooij
Officer — CFO and Treasurer
Period of report
Dec 31, 2015
Accepted (ET)
Mar 24, 2016 · 11:07 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001532595
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1,F2 | — | Nov 5, 2015 | A | 178,562 | A | — | — | Common Stock | 178,562 | 178,562 | D |
Explanation of responses
- F1The reporting person became an executive officer of the issuer on November 16, 2015.
- F2The reporting person was awarded 178,562 restricted stock units (the "Units") by the issuer on November 5, 2015. Each Unit represents a right to receive one share of common stock, par value $0.001, of the issuer upon vesting. 162,329 Units were awarded to the reporting person pursuant to the Employment Service Agreement between the issuer and the reporting person entered on November 1, 2015 and amended on November 16, 2015; 16,232 Units were awarded to the reporting person pursuant to the Restricted Stock Unit Agreement by and between the issuer and the reporting person under the Issuer?s 2013 Equity Incentive Plan.
- F3Contingent upon continuous employment of the reporting person with the issuer, the Units will become fully vested on November 5, 2016.