Statement of Changes in Beneficial Ownership (4)
November 17 2021 - 3:41PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Hockman Alexander A. |
2. Issuer Name and Ticker or Trading Symbol
NV5 Global, Inc.
[
NVEE
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & COO |
(Last)
(First)
(Middle)
200 SOUTH PARK RD., SUITE 350 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/15/2021 |
(Street)
HOLLYWOOD, FL 33021
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 11/15/2021 | | S(1) | | 5356 (2) | D | $109.0149 (3) | 109963 | D | |
Common Stock | 11/15/2021 | | S(1) | | 752 (2) | D | $109.7078 (4) | 109211 | D | |
Common Stock | 11/15/2021 | | S(1) | | 3892 (2) | D | $111.3793 (5) | 105319 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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) | The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
(2) | The shares set forth in Column 4 of this Form 4 reflect shares sold by the reporting person for tax and estate planning purposes. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.37 to $109.1512, inclusive. The reporting person undertakes to provide to NV5 Global, Inc., any security holder of NV5 Global, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.50 to $109.74, inclusive. The reporting person undertakes to provide to NV5 Global, Inc., any security holder of NV5 Global, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. |
(5) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.02 to $111.54, inclusive. The reporting person undertakes to provide to NV5 Global, Inc., any security holder of NV5 Global, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (5) to this Form 4. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hockman Alexander A. 200 SOUTH PARK RD. SUITE 350 HOLLYWOOD, FL 33021 | X |
| President & COO |
|
Signatures
|
/s/ MaryJo OBrien, as attorney in fact | | 11/17/2021 |
**Signature of Reporting Person | Date |
NV5 Global (NASDAQ:NVEE)
Historical Stock Chart
From Jul 2024 to Jul 2024
NV5 Global (NASDAQ:NVEE)
Historical Stock Chart
From Jul 2023 to Jul 2024