SEC Form 4 · accession 0001437749-15-000807
NV5 Global, Inc. · NVEE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
MaryJo O'Brien
Officer — Ex VP, Chief Admin & Secretary
Period of report
Jan 14, 2015
Accepted (ET)
Jan 16, 2015 · 9:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001532961
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 14, 2015 | X | 1,000 | $7.80 | A | 84,679 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (Right to Buy)F1 | $7.80 | Jan 14, 2015 | X | 1,000 | D | Jan 5, 2015 | Feb 4, 2015 | Common Stock | 1,000 | 0 | D |
Explanation of responses
- F1The Issuer effectuated a the call for the redemption of all of its outstanding public warrants commencing on January 5, 2015 after satisfying the applicable conditions set forth in the amended and restated warrant agreement, dated as of September 24, 2013, governing the public warrants. The public warrant holders have until 5:00 p.m., New York City time, on February 4, 2015 to exercise their public warrants at $7.80 per share.