SEC Form 4 · accession 0001719844-18-000008
National Vision Holdings, Inc. · EYE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick R. Moore
Officer — SVP, Chief Financial Officer
Period of report
Nov 19, 2018
Accepted (ET)
Nov 21, 2018 · 4:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001710155
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)F1,F2 | $4.27 | Nov 19, 2018 | A | 36,045 | A | — | Sep 16, 2024 | Common Stock | 36,045 | 164,205 | D |
Explanation of responses
- F1On September 16, 2014, the reporting person was granted stock options, subject to time-based and performance-based vesting. On November 19, 2018, a liquidity event with respect to such performance-based stock options occurred as a result of sales by the Issuer's sponsor stockholders and 36,045 stock options which had previously not been reported were deemed earned.
- F2Of the 164,205 stock options reported herein, 142,845 are vested and the remaining 21,360 time-based stock options will vest on March 13, 2019. An additional 60,076 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above.