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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Humphries Iain C/O CONCRETE PUMPING HOLDINGS, INC. 6461 DOWNING STREET DENVER, CO 80229 |
X | CFO and Secretary |
/s/ Joel Rubinstein, Attorney-in-Fact | 04/12/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents restricted shares of common stock. 25% of such shares will vest in five substantially equal installments on each of December 6, 2019, December 6, 2020, December 6, 2021, December 6, 2022 and December 6, 2023, provided that the Reporting Person is in the employ of the Issuer or a subsidiary of the Issuer on the vesting dates. The remaining 75% will become available for vesting in three equal installments if the common stock closes at or above $13.00, $16.00 and $19.00 per share, respectively (each, a "stock price target"), for 30 consecutive business days. Upon the achievement of a stock price target, the related tranche of restricted common stock will vest in equal increments over the first, second and third anniversaries of the date on which such stock price target was achieved. If a stock price target is not achieved on or before December 6, 2023, then the related tranche of restricted shares will be forfeited. If a stock price target is achieved but the related tranche |
(2) | Represents restricted shares of common stock. Such shares will become available for vesting in three equal installments if the common stock closes at or above $13.00, $16.00 and $19.00 per share, respectively (each, a "stock price target"), for 30 consecutive business days. Upon the achievement of a stock price target, the related tranche of restricted common stock will vest in equal increments over the first, second and third anniversaries of the date on which such stock price target was achieved. If a stock price target is not achieved on or before December 6, 2023, then the related tranche of restricted shares will be forfeited. If a stock price target is achieved but the related tranche of restricted shares is not fully vested by December 6, 2023, such shares may, under certain circumstances, continue to vest after that date. |