SEC Form 4 · accession 0001181070-18-000004
National Vision Holdings, Inc. · EYE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mitchell Goodman
Officer — SVP, GC and Secretary
Period of report
Mar 22, 2018
Accepted (ET)
Mar 26, 2018 · 5:03 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 Stock | Mar 22, 2018 | M | 7,166 | $4.27 | A | 61,106 | D | |
| Common StockF2 | Mar 26, 2018 | S | 7,166 | $31.68 | D | 53,940 | 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)F3 | $4.27 | Mar 22, 2018 | M | 7,166 | D | — | Mar 13, 2024 | Common Stock | 7,166 | 78,274 | D |
Explanation of responses
- F1Represents an exercise of stock options in connection with the Reporting Person's sale of shares of common stock in an underwritten public offering.
- F2This amount represents the secondary public offering price per share of common stock of National Vision Holdings, Inc., less the underwriting discount of $1.32 per share, in connection with the exercise of the underwriters' option to purchase additional shares.
- F3Of this stock option award, 56,960 stock options are currently vested, with an additional 28,480 eligible to vest on March 13, 2019. An additional 213,602 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above.