Statement of Changes in Beneficial Ownership (4)
December 30 2020 - 12:29PM
Edgar (US Regulatory)
FORM 4
[X]
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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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
*
Spivey Jason M |
2. Issuer Name and Ticker or Trading Symbol
GOLDFIELD CORP
[
GV
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CoCEO,President of PCA,SEP,PFI |
(Last)
(First)
(Middle)
7401 SUNNYSIDE DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/30/2020 |
(Street)
LEESBURG, FL 34748-9169
(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 | 12/30/2020 | | D | | 50000 (1) | D | $7 | 0 | 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 |
Explanation of Responses: |
(1) | Pursuant to the terms in the tender offer commenced by FR Utility Services Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of FR Utility Services, Inc., a Delaware corporation the terms of that certain Agreement and Plan of Merger, dated as of November 23, 2020 (the "Merger Agreement"), each restricted stock unit ("RSU") that was outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) vested in full and was cancelled, and the holder thereof became entitled to receive, in respect of each share subject to such RSU, $7.00 in cash, without interest and less any applicable withholding taxes. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Spivey Jason M 7401 SUNNYSIDE DRIVE LEESBURG, FL 34748-9169 |
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| CoCEO,President of PCA,SEP,PFI |
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Signatures
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Jason M. Spivey | | 12/30/2020 |
**Signature of Reporting Person | Date |
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