SEC Form 4 · accession 0001140361-17-040309
National Vision Holdings, Inc. · EYE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond J. McAllister
Officer — Chief Operating Officer
Period of report
Aug 14, 2017
Accepted (ET)
Oct 31, 2017 · 4:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001710155
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 14, 2017 | A | 63,572 | $15.73 | A | 63,572 | D | |
| Common Stock | Oct 30, 2017 | P | 11,200 | $22.00 | A | 74,772 | D |
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)F1,F3 | $15.74 | Aug 14, 2017 | A | 144,927 | A | — | Aug 14, 2027 | Common Stock | 144,927 | 144,927 | D |
Explanation of responses
- F1Reported on a post 1.96627-for-one reverse stock split basis effective October 24, 2017.
- F2Reflects shares of common stock purchased under the Issuer's Directed Share Program in connection with the Issuer's initial public offering.
- F3Represents a grant of stock options which will vest in five equal annual installments beginning on August 14, 2018. An additional 217,390 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above.