SEC Form 4 · accession 0001437749-15-016465
NV5 Global, Inc. · NVEE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Richard Tong
Officer — Exec VP and General Counsel
Period of report
Aug 24, 2015
Accepted (ET)
Aug 26, 2015 · 8:30 pm EDT
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,F2 | Aug 24, 2015 | S | 10,000 | $19.59 | D | 66,819 | D | |
| Common StockF1,F3 | Aug 25, 2015 | S | 10,000 | $19.40 | D | 56,819 | D | |
| Common StockF1,F4 | Aug 26, 2015 | S | 5,600 | $18.697 | D | 51,219 | D | |
| Common StockF1 | Aug 26, 2015 | S | 100 | $18.00 | D | 51,119 | D | |
| Common StockF1 | Aug 26, 2015 | S | 100 | $18.12 | D | 51,019 | D | |
| Common StockF1 | Aug 26, 2015 | S | 100 | $18.13 | D | 50,919 | D | |
| Common StockF1 | Aug 26, 2015 | S | 200 | $18.19 | D | 50,719 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares set forth in Column 4 of this Form 4 reflect shares sold by the reporting person to cover taxes associated with the vesting of restricted shares.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.50 to $19.99, inclusive. The reporting person undertakes to provide to NV5 Holdings, Inc., any security holder of NV5 Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.40 to $19.50, inclusive. The reporting person undertakes to provide to NV5 Holdings, Inc., any security holder of NV5 Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.21 to $19.21, inclusive. The reporting person undertakes to provide to NV5 Holdings, Inc., any security holder of NV5 Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.