SEC Form 4 · accession 0001437749-18-016071
NV5 Global, Inc. · NVEE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander A. Hockman
Officer — President & COO · Director
Period of report
Aug 15, 2018
Accepted (ET)
Aug 23, 2018 · 9:39 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 StockF2,F3 | Aug 15, 2018 | S | 6,584 | $82.3532 | D | 255,183 | D | |
| Common StockF2,F4 | Aug 15, 2018 | S | 3,416 | $83.4533 | D | 251,767 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2The shares set forth in Column 4 of this Form 4 reflect shares sold by the reporting person for tax planning purposes.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.95 to $82.60, inclusive. The reporting person undertakes to provide to NV5 Global, Inc., any security holder of NV5 Global, 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 $83.15 to $84.10, inclusive. The reporting person undertakes to provide to NV5 Global, Inc., any security holder of NV5 Global, 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.