SEC Form 4 · accession 0001179110-15-002349
DAWSON GEOPHYSICAL CO · DWSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Herbert M Gardner
Director
Period of report
Feb 11, 2015
Accepted (ET)
Feb 12, 2015 · 9:46 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000799165
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F4,F6 | holding | — | — | — | 191,610 | D | ||
| Common StockF2,F4 | holding | — | — | — | 50,000 | I | By 2014 GRAT | |
| Common StockF3,F4 | holding | — | — | — | 26,818 | I | By Generation Skipping Marital Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nonqualified Stock OptionF4,F5 | $17.198 | holding | — | — | — | — | Nov 20, 2016 | Common Stock | 6,187 | 6,187 | D |
| Nonqualified Stock OptionF4,F5 | $16.7861 | holding | — | — | — | — | Aug 6, 2017 | Common Stock | 6,562 | 6,562 | D |
| Nonqualified Stock OptionF4,F5 | $21.54 | holding | — | — | — | — | Dec 18, 2018 | Common Stock | 6,599 | 6,599 | D |
| Nonqualified Stock OptionF4,F5 | $11.79 | holding | — | — | — | — | Jul 30, 2019 | Common Stock | 12,500 | 12,500 | D |
Explanation of responses
- F1Includes 98,777 shares held in Reporting Persons IRA accounts.
- F2These shares were previously reported as directly beneficially owned, but were contributed to a grantor retained annuity trust on 11/12/2014.
- F3Reporting Person disclaims beneficial ownership of shares owned by the Generation Skipping Marital Trust U/W/O Mary K. Gardner, of which the Reporting Person is a Co-Trustee.
- F4Adjusted to reflect the 1-for-3 reverse stock split that became effective on February 11, 2015.
- F5Options are all vested and exercisable.
- F6The reporting person resigned from the board of directors of the issuer effective February 11, 2015. As a result, the reporting person is no longer subject to Section 16 in connection with transactions in the equity securities of the issuer and therefore will no longer report any such transactions on Form 4 or Form 5.