Neff Corp Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 57 rows, 57 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-10-02: Reporting owner SINGER ROBERT C; Form 4; Security Neff Holdings LLC Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-10-02: Reporting owner SINGER ROBERT C; Form 4; Security Neff Holdings LLC Units; Transaction F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- 2017-10-02: Reporting owner SINGER ROBERT C; Form 4; Security Neff Holdings LLC Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-10-02: Reporting owner Halloran Patrick J. | WAYZATA OPPORTUNITIES FUND II, L.P. | Wayzata Investment Partners LLC | Wayzata Opportunities Fund Offshore II, L.P.; Form 4; Security Units; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-10-02 | SINGER ROBERT C Director | 4 | Neff Holdings LLC Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +14,303 14,303 owned after | $6.66 exercise price | 2017-10-03 | |
| 2017-10-02 | SINGER ROBERT C Director | 4 | Neff Holdings LLC Units Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −3,810 10,493 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | SINGER ROBERT C Director | 4 | Neff Holdings LLC Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,493 0 owned after | $6.66 exercise price | 2017-10-03 | |
| 2017-10-02 | Halloran Patrick J. | WAYZATA OPPORTUNITIES FUND II, L.P. | Wayzata Investment Partners LLC | Wayzata Opportunities Fund Offshore II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Units Derivative · Indirect · See footnotes | C Conversion of derivative security | −14,585,304 0 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Halloran Patrick J. | WAYZATA OPPORTUNITIES FUND II, L.P. | Wayzata Investment Partners LLC | Wayzata Opportunities Fund Offshore II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Units Derivative · Indirect · (1)See footnotes | C Conversion of derivative security | −366,321 0 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Parks Westley Officer (Chief Operating Officer) | 4 | Neff Holdings LLC Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +97,510 97,510 owned after | $6.66 exercise price | 2017-10-03 | |
| 2017-10-02 | Parks Westley Officer (Chief Operating Officer) | 4 | Neff Holdings LLC Units Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −55,151 42,359 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Parks Westley Officer (Chief Operating Officer) | 4 | Neff Holdings LLC Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −42,359 0 owned after | $6.66 exercise price | 2017-10-03 | |
| 2017-10-02 | Parks Westley Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,692 0 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Parks Westley Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,731 0 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Parks Westley Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,702 0 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Parks Westley Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,367 0 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Irion Mark Director, Officer (Chief Financial Officer) | 4 | Neff Holdings LLC Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +211,272 211,272 owned after | $6.66 exercise price | 2017-10-03 | |
| 2017-10-02 | Irion Mark Director, Officer (Chief Financial Officer) | 4 | Neff Holdings LLC Units Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −115,479 95,793 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Irion Mark Director, Officer (Chief Financial Officer) | 4 | Neff Holdings LLC Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −95,793 0 owned after | $6.66 exercise price | 2017-10-03 | |
| 2017-10-02 | Irion Mark Director, Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,127 0 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Irion Mark Director, Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,253 0 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Irion Mark Director, Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,630 0 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | CONTINENZA JAMES V Director | 4 | Neff Holdings LLC Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +20,433 20,433 owned after | $6.66 exercise price | 2017-10-03 | |
| 2017-10-02 | CONTINENZA JAMES V Director | 4 | Neff Holdings LLC Units Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −5,443 14,990 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | CONTINENZA JAMES V Director | 4 | Neff Holdings LLC Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,990 0 owned after | $6.66 exercise price | 2017-10-03 | |
| 2017-10-02 | Hood Graham Director, Officer (Chief Executive Officer) | 4 | Neff Holdings LLC Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +354,288 354,288 owned after | $6.66 exercise price | 2017-10-03 | |
| 2017-10-02 | Hood Graham Director, Officer (Chief Executive Officer) | 4 | Neff Holdings LLC Units Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −197,572 156,716 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Hood Graham Director, Officer (Chief Executive Officer) | 4 | Neff Holdings LLC Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −156,716 0 owned after | $6.66 exercise price | 2017-10-03 | |
| 2017-10-02 | Hood Graham Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,949 0 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Hood Graham Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −31,133 0 owned after | no price filed | 2017-10-03 | |
| 2017-10-02 | Hood Graham Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,667 0 owned after | no price filed | 2017-10-03 | |
| 2017-05-15 | SINGER ROBERT C Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,763 0 owned after | $0.00 | 2017-05-17 | |
| 2017-05-15 | CONTINENZA JAMES V Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,780 0 owned after | $0.00 | 2017-05-17 | |
| 2017-05-15 | SILECK MICHAEL Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,763 0 owned after | $0.00 | 2017-05-17 | |
| 2017-05-15 | Holthaus Gerard E Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,763 0 owned after | $0.00 | 2017-05-17 | |
| 2016-12-09 | SINGER ROBERT C Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,763 5,763 owned after | $0.00 | 2016-12-13 | |
| 2016-12-09 | SILECK MICHAEL Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,763 5,763 owned after | $0.00 | 2016-12-13 | |
| 2016-12-09 | Holthaus Gerard E Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,763 5,763 owned after | $0.00 | 2016-12-13 | |
| 2016-12-09 | CONTINENZA JAMES V Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,780 6,780 owned after | $0.00 | 2016-12-13 | |
| 2016-12-09 | Parks Westley Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,692 6,692 owned after | $0.00 | 2016-12-13 | |
| 2016-12-09 | Irion Mark Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,127 8,127 owned after | $0.00 | 2016-12-13 | |
| 2016-12-09 | Hood Graham Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,949 16,949 owned after | $0.00 | 2016-12-13 | |
| 2016-05-12 | SINGER ROBERT C Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,585 0 owned after | $0.00 | 2016-05-17 | |
| 2016-05-12 | SILECK MICHAEL Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,585 0 owned after | $0.00 | 2016-05-17 | |
| 2016-05-12 | Holthaus Gerard E Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,585 0 owned after | $0.00 | 2016-05-17 | |
| 2016-05-12 | CONTINENZA JAMES V Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,453 0 owned after | $0.00 | 2016-05-17 | |
| 2015-12-02 | SILECK MICHAEL Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,585 10,585 owned after | $0.00 | 2015-12-04 | |
| 2015-12-02 | SINGER ROBERT C Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,585 10,585 owned after | $0.00 | 2015-12-04 | |
| 2015-12-02 | Parks Westley Officer (Chief Operating Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,731 11,731 owned after | $0.00 | 2015-12-04 | |
| 2015-12-02 | Holthaus Gerard E Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,585 10,585 owned after | $0.00 | 2015-12-04 | |
| 2015-12-02 | CONTINENZA JAMES V Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,453 12,453 owned after | $0.00 | 2015-12-04 | |
| 2015-12-02 | Irion Mark Officer (Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,253 14,253 owned after | $0.00 | 2015-12-04 | |
| 2015-12-02 | Hood Graham Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,133 31,133 owned after | $0.00 | 2015-12-04 | |
| 2015-07-29 holding as of filing | Wayzata Opportunities Fund Offshore II, L.P. | WAYZATA OPPORTUNITIES FUND II, L.P. 10% Owner | 10% Owner | 3 | Units Derivative · Indirect · See Footnote | Holding | no price filed | 2015-07-29 | ||
| 2015-05-26 | Holthaus Gerard E Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,667 0 owned after | $0.00 | 2015-09-28 | |
| 2015-05-26 | SINGER ROBERT C Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,667 0 owned after | $0.00 | 2015-09-28 | |
| 2015-05-26 | CONTINENZA JAMES V Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,667 0 owned after | $0.00 | 2015-09-28 | |
| 2014-11-20 | Holthaus Gerard E Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,667 5,667 owned after | $0.00 | 2014-11-24 | |
| 2014-11-20 | SINGER ROBERT C Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,667 5,667 owned after | $0.00 | 2014-11-24 | |
| 2014-11-20 | CONTINENZA JAMES V Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,667 6,667 owned after | $0.00 | 2014-11-24 | |
| 2014-11-20 holding as of filing | Halloran Patrick J. | Wayzata Investment Partners LLC 10% Owner | 10% Owner | 3 | Units Derivative · Indirect · See Footnote | Holding | no price filed | 2014-11-20 |