Statement of Changes in Beneficial Ownership (4)
January 05 2021 - 4:20PM
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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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
*
Bruno Lawrence |
2. Issuer Name and Ticker or Trading Symbol
CORE LABORATORIES N V
[
CLB
]
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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) Chairman and CEO |
(Last)
(First)
(Middle)
6316 WINDFERN ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/31/2020 |
(Street)
HOUSTON, TX 77040
(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 Shares | 12/31/2020 | | M | | 13682 | A | $0.00 | 24542 | D | |
Common Shares | 12/31/2020 | | F | | 5384 | D | $26.51 | 19158 | 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 |
Performance Shares | $0.00 | 12/31/2020 | | M | | | 13682 | (1) | (1) | Common Shares | 13682 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | The shares vesting were awarded as restricted performance shares in February 2018 as reported in the Form 4 filing on February 13, 2018. This filing states that 50% of the restricted performance shares will vest at the end of the Performance Period if the Company is in the top 50th ROIC percentile among a Bloomberg Peer Group(BPG), 100% of the award will vest if the Company is in the top 75th ROIC percentile of the BPG and 150% of the award will vest if the Company is the top performing ROIC company of the BPG. The Company was in the top 75th the top performing ROIC percentile company as of the end of the performance period and as such the performance criteria and all requirements for 100% vesting have been met and thus the shares granted in February 2018 vested on December 31, 2020, at the conclusion of the performance period. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bruno Lawrence 6316 WINDFERN ROAD HOUSTON, TX 77040 | X |
| Chairman and CEO |
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Signatures
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/s/ Mark Elvig, Attorney-in-Fact | | 1/5/2021 |
**Signature of Reporting Person | Date |
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