SEC Form 4 · accession 0001437749-15-000837
NV5 Global, Inc. · NVEE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey A. Liss
Director
Period of report
Jan 16, 2015
Accepted (ET)
Jan 20, 2015 · 1:31 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 StockF1 | Jan 16, 2015 | X | 8,000 | $7.80 | A | 21,000 | I | Nancy J. Liss Recovable Trust dated 12/14/1999 |
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)F2,F3 | $7.80 | Jan 16, 2015 | X | 8,000 | D | Jan 5, 2015 | Feb 4, 2015 | Common Stock | 8,000 | 0 | I |
Explanation of responses
- F1Jeffrey Liss is a trustee of the Nancy J. Liss Revocable Trust, dated 12/14/1999. Mr. Liss disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
- F2The 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.
- F3Jeffrey Liss is a trustee of the Nancy J. Liss Revocable Trust, dated 12/14/1999. Mr. Liss disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.