SEC Form 4 · accession 0001719842-18-000014
National Vision Holdings, Inc. · EYE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Vaught
Officer — SVP, Chief Information Officer
Period of report
Sep 25, 2018
Accepted (ET)
Sep 26, 2018 · 5:53 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 | Sep 25, 2018 | M | 26,477 | $4.27 | A | 26,477 | D | |
| Common StockF2 | Sep 25, 2018 | S | 21,370 | $43.206 | D | 5,107 | D | |
| Common StockF3 | Sep 25, 2018 | S | 5,107 | $43.817 | D | 0 | 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)F4 | $4.27 | Sep 25, 2018 | M | 26,477 | D | — | Mar 13, 2024 | Common Stock | 26,477 | 27,228 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan established by the reporting person on August 24, 2018.
- F2Price represents the weighted average sales price. The shares were sold pursuant to a single order in multiple transactions as prices ranging from $42.69 to $43.66. Upon request by the SEC staff, the issuer or a security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price.
- F3Price represents the weighted average sales price. The shares were sold pursuant to a single order in multiple transactions as prices ranging from $43.70 to $44.00. Upon request by the SEC staff, the issuer or a security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price.
- F4Of these 53,705 stock options, 40,279 are vested and the remaining 13,426 stock options will vest on March 13, 2019. An additional 60,419 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above.