SEC Form 4 · accession 0001719842-19-000002
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
Jan 11, 2019
Accepted (ET)
Jan 15, 2019 · 4:31 pm EST
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 | Jan 11, 2019 | M | 36,459 | $4.27 | A | 36,459 | D | |
| Common StockF1 | Jan 11, 2019 | S | 36,459 | $30.493 | D | 0 | D | |
| Common Stock | Jan 11, 2019 | M | 6,284 | $7.25 | A | 6,284 | D | |
| Common StockF2 | Jan 11, 2019 | S | 6,284 | $30.04 | 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)F3 | $4.27 | Jan 11, 2019 | M | 36,459 | D | — | Mar 13, 2024 | Common Stock | 36,459 | 13,426 | D |
| Stock Option (Right to Buy)F4 | $7.25 | Jan 11, 2019 | M | 6,284 | D | — | Mar 13, 2024 | Common Stock | 6,284 | 4,137 | D |
Explanation of responses
- F1Price represents the weighted average sales price. The shares were sold pursuant to a single order in multiple transactions as prices ranging from $30.17 to $30.89. 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.
- F2Price represents the weighted average sales price. The shares were sold pursuant to a single order in multiple transactions as prices ranging from $30.00 to $30.14. 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.
- F3Of these 13,426 stock options, none are vested and 13,426 stock options will vest on March 13, 2019. An additional 37,762 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above.
- F4These stock options are fully vested.