NV5 Holdings, Inc. 4
4 · NV5 Holdings, Inc. · Filed Oct 9, 2013
Insider Transaction Report
Form 4
Liss Jeffrey A.
Director
Transactions
- Exercise of In-Money
Common Stock
2013-10-03$6.00/sh+2,000$12,000→ 12,000 total(indirect: By Trust) - Award
Warrant (Right to Buy)
2013-10-03+2,000→ 2,000 total(indirect: By Trust)Exercise: $6.00Exp: 2018-03-27→ Common Stock (2,000 underlying) - Disposition to Issuer
Warrant (Right to Buy)
2013-10-03−2,000→ 6,000 total(indirect: By Trust)Exercise: $7.80Exp: 2018-03-27→ Common Stock (2,000 underlying) - Exercise of In-Money
Warrant (Right to Buy)
2013-10-03−2,000→ 0 total(indirect: By Trust)Exercise: $6.00Exp: 2018-03-27→ Common Stock (2,000 underlying)
Holdings
- 2,836
Common Stock
Footnotes (2)
- [F1]Jeff Liss is a trustee of the Nancy J. Liss Revocable Trust, dated 12/14/1999. Mr. Liss disclaims benefifical ownership of these securities except to the extent of his pecuniary interest therein.
- [F2]The Issuer effectuated a temporary reduction of the exercise price of all of its outstanding public warrants from $7.80 per share to $6.00 per share, commencing on September 27, 2013 and continuing until 5:00 p.m., New York City time, on October 11, 2013. The two reported transactions involve a change in the exercise price of the outstanding warrant upon exercise, resulting in the deemed cancellation of the portion of the "old" warrant exercised and the grant of a replacement warrant for the number of shares exercised. The warrant was originally purchased on April 2, 2013.