SEC Form 4/A · accession 0001678463-18-000057
Forterra, Inc. · FRTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Vikrant Bhatia
Officer — Executive Vice President
Period of report
Dec 12, 2017
Accepted (ET)
May 30, 2018 · 4:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001678463
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2,F1 | $9.16 | Dec 12, 2017 | A | 32,967 | A | — | Dec 12, 2027 | Common Stock | 32,967 | 32,967 | D |
| Restricted Stock UnitF2,F3,F4 | — | Dec 12, 2017 | A | 8,734 | A | — | — | Common Stock | 8,734 | 8,734 | D |
Explanation of responses
- F1Stock options vest in three equal installments on the first, second and third anniversaries of the grant date. Amendment filed to correct total in column 9.
- F2Granted as compensation for services.
- F3Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Amendment filed to move restricted stock units from Table I to Table II.
- F4Restricted stock units vest in three equal installments on the first, second and third anniversaries of the grant date.