NV5 Global, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 48 rows, 48 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-01-30: Reporting owner Tong Richard; Form 4; Security Warrant (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2015-01-28: Reporting owner Hockman Alexander A.; Form 4; Security Warrant (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2015-01-28: Reporting owner RAMA MICHAEL P; Form 4; Security Warrant (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2015-01-27: Reporting owner ALFORD DONALD C; Form 4; Security Warrant (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-01-30 | Tong Richard Officer (Exec VP and General Counsel) | 4 | Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −11,500 0 owned after | $7.80 exercise price | 2015-01-30 | |
| 2015-01-28 | Hockman Alexander A. Officer (President & COO) | 4 | Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −35,000 0 owned after | $7.80 exercise price | 2015-01-28 | |
| 2015-01-28 | RAMA MICHAEL P Officer (VP and CFO) | 4 | Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −3,000 0 owned after | $7.80 exercise price | 2015-01-28 | |
| 2015-01-27 | ALFORD DONALD C Director, Officer (Executive VP) | 4 | Warrant (Right to Buy) Derivative · Indirect · Wife's IRA | X Exercise of in-the-money or at-the-money derivative security | −1,000 0 owned after | $7.80 exercise price | 2015-01-28 | |
| 2015-01-16 | Liss Jeffrey A. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · Nancy J. Liss Revocable Trust, dated 12/14/1999 | X Exercise of in-the-money or at-the-money derivative security | −8,000 0 owned after | $7.80 exercise price | 2015-01-20 | |
| 2015-01-14 | O'Brien MaryJo Officer (Ex VP, Chief Admin & Secretary) | 4 | Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,000 0 owned after | $7.80 exercise price | 2015-01-16 | |
| 2014-11-24 | O'Brien MaryJo Officer (Ex VP, Chief Admin & Secretary) | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000 1,000 owned after | $6.00 | 2014-12-18 | |
| 2013-10-11 | Pruitt William D Director | 4 | Warrant (Right to Buy) Derivative · Indirect · Pruitt Enterprises, LP | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $7.80 exercise price | 2013-10-15 | |
| 2013-10-11 | Pruitt William D Director | 4 | Warrant (Right to Buy) Derivative · Indirect · Pruitt Enterprises, LP | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $6.00 exercise price | 2013-10-15 | |
| 2013-10-11 | Pruitt William D Director | 4 | Warrant (Right to Buy) Derivative · Indirect · Pruitt Enterprises, LP | X Exercise of in-the-money or at-the-money derivative security | −8,000 0 owned after | $6.00 exercise price | 2013-10-15 | |
| 2013-10-10 | O'Brien MaryJo Officer (Ex VP, Chief Admin & Secretary) | 4 | Warrant (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,000 0 owned after | $7.80 exercise price | 2013-10-15 | |
| 2013-10-10 | O'Brien MaryJo Officer (Ex VP, Chief Admin & Secretary) | 4 | Warrant (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $6.00 exercise price | 2013-10-15 | |
| 2013-10-10 | O'Brien MaryJo Officer (Ex VP, Chief Admin & Secretary) | 4 | Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 0 owned after | $6.00 exercise price | 2013-10-15 | |
| 2013-10-10 | WRIGHT DICKERSON Director, Officer (CEO and President), 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · Wright Family Trust dated December 12, 1990 | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −166,667 0 owned after | $7.80 exercise price | 2013-10-15 | |
| 2013-10-10 | WRIGHT DICKERSON Director, Officer (CEO and President), 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · Wright Family Trust dated December 12, 1990 | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +166,667 166,667 owned after | $6.00 exercise price | 2013-10-15 | |
| 2013-10-10 | WRIGHT DICKERSON Director, Officer (CEO and President), 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · Wright Family Trust dated December 12, 1990 | X Exercise of in-the-money or at-the-money derivative security | −166,667 0 owned after | $6.00 exercise price | 2013-10-15 | |
| 2013-10-10 | ALFORD DONALD C Director, Officer (Executive VP) | 4 | Warrant ( Right to Buy) Derivative · Indirect · Wife's IRA | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000 1,000 owned after | $7.80 exercise price | 2013-10-15 | |
| 2013-10-10 | ALFORD DONALD C Director, Officer (Executive VP) | 4 | Warrant ( Right to Buy) Derivative · Indirect · Wife's IRA | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $6.00 exercise price | 2013-10-15 | |
| 2013-10-10 | ALFORD DONALD C Director, Officer (Executive VP) | 4 | Warrant ( Right to Buy) Derivative · Indirect · Wife's IRA | X Exercise of in-the-money or at-the-money derivative security | −2,000 0 owned after | $6.00 exercise price | 2013-10-15 | |
| 2013-10-10 | RAMA MICHAEL P Officer (VP and CFO) | 4/A | Warrant (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,000 3,000 owned after | $7.80 exercise price | 2013-10-15 | |
| 2013-10-10 | RAMA MICHAEL P Officer (VP and CFO) | 4/A | Warrant (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.00 exercise price | 2013-10-15 | |
| 2013-10-10 | RAMA MICHAEL P Officer (VP and CFO) | 4/A | Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,000 0 owned after | $6.00 exercise price | 2013-10-15 | |
| 2013-10-09 | RAMA MICHAEL P Officer (VP and CFO) | 4 | Warrant (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $7.80 exercise price | 2013-10-09 | |
| 2013-10-09 | RAMA MICHAEL P Officer (VP and CFO) | 4 | Warrant (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $6.00 exercise price | 2013-10-09 | |
| 2013-10-09 | RAMA MICHAEL P Officer (VP and CFO) | 4 | Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −8,000 0 owned after | $6.00 exercise price | 2013-10-09 | |
| 2013-10-07 | Salontai Gerald J. Director | 4 | Warrant (Right to Buy) Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,750 0 owned after | $7.80 exercise price | 2013-10-09 | |
| 2013-10-07 | Salontai Gerald J. Director | 4 | Warrant (Right to Buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,750 8,750 owned after | $6.00 exercise price | 2013-10-09 | |
| 2013-10-07 | Salontai Gerald J. Director | 4 | Warrant (Right to Buy) Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −8,750 0 owned after | $6.00 exercise price | 2013-10-09 | |
| 2013-10-07 | Salontai Gerald J. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,250 0 owned after | $7.80 exercise price | 2013-10-09 | |
| 2013-10-07 | Salontai Gerald J. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,250 1,250 owned after | $6.00 exercise price | 2013-10-09 | |
| 2013-10-07 | Salontai Gerald J. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −1,250 0 owned after | $6.00 exercise price | 2013-10-09 | |
| 2013-10-03 | Liss Jeffrey A. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · Nancy J. Liss Revocable Trust, dated 12/14/1999 | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000 6,000 owned after | $7.80 exercise price | 2013-10-09 | |
| 2013-10-03 | Liss Jeffrey A. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · ancy J. Liss Revocable Trust, dated 12/14/1999 | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $6.00 exercise price | 2013-10-09 | |
| 2013-10-03 | Liss Jeffrey A. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · ancy J. Liss Revocable Trust, dated 12/14/1999 | X Exercise of in-the-money or at-the-money derivative security | −2,000 0 owned after | $6.00 exercise price | 2013-10-09 | |
| 2013-09-19 | Liss Jeffrey A. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · Nancy J. Liss Revocable Trust, dated 12/14/1999 | P Open market or private purchase of non-derivative or derivative security | +1,000 1,000 owned after | $7.80 exercise price | 2013-09-20 | |
| 2013-09-18 | Liss Jeffrey A. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · Nancy J. Liss Revocable Trust, dated 12/14/1999 | P Open market or private purchase of non-derivative or derivative security | +400 400 owned after | $7.80 exercise price | 2013-09-20 | |
| 2013-09-18 | Liss Jeffrey A. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · Nancy J. Liss Revocable Trust, dated 12/14/1999 | P Open market or private purchase of non-derivative or derivative security | +600 600 owned after | $7.80 exercise price | 2013-09-20 | |
| 2013-04-02 | Pruitt William D Director | 4 | Warrant (Right to Buy) Derivative · Indirect · Pruitt Enterprises, LP | P Open market or private purchase of non-derivative or derivative security | +8,000 8,000 owned after | $7.80 exercise price | 2013-05-22 | |
| 2013-04-02 | WRIGHT DICKERSON Director, Officer (CEO and President), 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · Wright Family Trust dated December 12, 1990 | P Open market or private purchase of non-derivative or derivative security | +166,667 166,667 owned after | $7.80 exercise price | 2013-04-03 | |
| 2013-04-02 | Tong Richard Officer (Exec VP and General Counsel) | 4 | Warrant ( Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +11,500 11,500 owned after | $7.80 exercise price | 2013-04-03 | |
| 2013-04-02 | Salontai Gerald J. Director | 4 | Warrant (Right to Buy) Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +8,750 8,750 owned after | $7.80 exercise price | 2013-04-03 | |
| 2013-04-02 | Salontai Gerald J. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +1,250 1,250 owned after | $7.80 exercise price | 2013-04-03 | |
| 2013-04-02 | RAMA MICHAEL P Officer (VP and CFO) | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +8,000 8,000 owned after | $7.80 exercise price | 2013-04-03 | |
| 2013-04-02 | Pruitt William D Director | 4 | Warrant (Right to Buy) Derivative · Indirect · Pruitt Enterprises, LP | P Open market or private purchase of non-derivative or derivative security | +8,000 8,000 owned after | $7.80 exercise price | 2013-04-03 | |
| 2013-04-02 | O'Brien MaryJo Officer (Ex VP, Chief Admin & Secretary) | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $7.80 exercise price | 2013-04-03 | |
| 2013-04-02 | Liss Jeffrey A. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · Nancy J. Liss Revocable Trust, dated 12/14/1999 | P Open market or private purchase of non-derivative or derivative security | +8,000 8,000 owned after | $7.80 exercise price | 2013-04-03 | |
| 2013-04-02 | Hockman Alexander A. Officer (Executive VP) | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +35,000 35,000 owned after | $7.80 exercise price | 2013-04-03 | |
| 2013-04-02 | ALFORD DONALD C Director, Officer (Executive VP) | 4 | Warrant (Right to Buy) Derivative · Indirect · Wife's IRA | P Open market or private purchase of non-derivative or derivative security | +3,000 3,000 owned after | $7.80 exercise price | 2013-04-03 |