Statement of Changes in Beneficial Ownership (4)
November 04 2021 - 4:52PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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1. Name and Address of Reporting Person
*
Manthripragada Vijay |
2. Issuer Name and Ticker or Trading Symbol
Montrose Environmental Group, Inc.
[
MEG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & CEO |
(Last)
(First)
(Middle)
5120 NORTHSHORE DR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/2/2021 |
(Street)
NORTH LITTLE ROCK, AR 72118
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/2/2021 | | M | | 15735 | A | $6.03 | 28663 | D | |
Common Stock | 11/2/2021 | | S | | 15735 | D | $70.081 (1) | 12928 | D | |
Common Stock | 11/3/2021 | | M | | 9145 | A | $6.03 | 22073 | D | |
Common Stock | 11/3/2021 | | S | | 5819 | D | $70.673 (2) | 16254 | D | |
Common Stock | 11/3/2021 | | S | | 3326 | D | $71.335 (3) | 12928 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $6.03 | 11/2/2021 | | M | | | 15735 | (4) | 6/23/2026 | Common Stock | 15735 | $0.00 | 248270 | D | |
Stock Option (Right to Buy) | $6.03 | 11/3/2021 | | M | | | 9145 | (4) | 6/23/2026 | Common Stock | 9145 | $0.00 | 239125 | D | |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. These shares of common stock of the Issuer were sold in multiple transactions by the Reporting Person at prices ranging from $70.00 to $70.64, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares of common stock sold at each separate price within the range. |
(2) | The price reported in Column 4 is a weighted average price. These shares of common stock of the Issuer were sold in multiple transactions by the Reporting Person at prices ranging from $70.19 to $71.18, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares of common stock sold at each separate price within the range. |
(3) | The price reported in Column 4 is a weighted average price. These shares of common stock of the Issuer were sold in multiple transactions by the Reporting Person at prices ranging from $71.19 to $71.58, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares of common stock sold at each separate price within the range. |
(4) | 50% of the shares subject to the option vested on September 11, 2017 and the remaining 50% vested on September 11, 2019. |
Remarks: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Manthripragada Vijay 5120 NORTHSHORE DR NORTH LITTLE ROCK, AR 72118 | X |
| President & CEO |
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Signatures
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/s/ Nasym Afsari, Attorney in fact | | 11/4/2021 |
**Signature of Reporting Person | Date |
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