Statement of Changes in Beneficial Ownership (4)
October 13 2022 - 6:58PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
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Rubin Steven D |
2. Issuer Name and Ticker or Trading Symbol
Red Violet, Inc.
[
RDVT
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O RED VIOLET, INC., 2650 N. MILITARY TRAIL, SUITE 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/12/2022 |
(Street)
BOCA RATON, FL 33431
(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 | 10/12/2022 | | A | | 10800 (1) | A | (1) | 132338 (1)(2)(3)(4) | 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) | On October 12, 2022, the reporting person received a grant of 10,800 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis, which vest in approximately three equal installments on each of November 1, 2023, November 1, 2024 and November 1, 2025, subject to accelerated vesting under certain conditions. The RSU grant includes an award of 5,000 RSUs for serving as a member of the Company's Board of Directors, 4,000 RSUs for serving on the Audit Committee and 1,800 RSUs for serving as the Chair of the Compensation Committee. |
(2) | Includes 5,933 RSUs convertible into common stock originally granted on September 24, 2021. The RSUs vest in approximately two equal installments on October 1, 2023 and October 1, 2024, subject to accelerated vesting under certain conditions. |
(3) | Includes 4,666 RSUs originally granted on November 20, 2020. The RSUs vest in approximately two equal installments on each of November 1, 2022, and November 1, 2023, subject to accelerated vesting under certain conditions. |
(4) | Includes 37,801 vested RSUs in which the reporting person has elected to defer delivery until the reporting person's separation of service from the issuer or death or disability. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rubin Steven D C/O RED VIOLET, INC. 2650 N. MILITARY TRAIL, SUITE 300 BOCA RATON, FL 33431 | X |
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Signatures
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/s/ Steven D. Rubin | | 10/13/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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