Statement of Changes in Beneficial Ownership (4)

Date : 12/05/2019 @ 9:25PM
Source : Edgar (US Regulatory)
Stock : AquaVenture Holdings Limited (WAAS)
Quote : 27.03  0.0 (0.00%) @ 1:00AM
AquaVenture share price Chart

Statement of Changes in Beneficial Ownership (4)

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 *

Muller Lee S
2. Issuer Name and Ticker or Trading Symbol

AquaVenture Holdings Ltd [ WAAS ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chief Financial Officer
(Last)          (First)          (Middle)

C/O CONYERS CORP. SERVICES (B.V.I.) LTD., COMMERCE HOUSE, WICKHAMS CAY 1
3. Date of Earliest Transaction (MM/DD/YYYY)

12/4/2019
(Street)

ROAD TOWN, D8 VG1110
(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
Ordinary Shares 12/4/2019  M  1137 A$0 23621 D  
Ordinary Shares 12/4/2019  F(1)  277 D$22.16 23344 D  
Ordinary Shares         70000 I By Spouse (2)

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 Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Share Units  (3)12/4/2019  M     1137   (4) (4)Ordinary Shares 1137 $0 5685 D  

Explanation of Responses:
(1) Ordinary Shares were withheld to cover the minimum income tax withholding requirements associated with the vesting of Restricted Share Units based on the closing stock price as of December 4, 2019.
(2) The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein, if any.
(3) Each Restricted Share Unit represents a contingent right to receive one Ordinary Share of the Company.
(4) The Restricted Share Units were issued pursuant to the Company's 2016 Share Option and Incentive Plan. One quarter of the Restricted Share Units shall vest on March 4, 2018, and the remaining 75% of such shares shall vest in equal quarterly installments over the following three (3) years.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Muller Lee S
C/O CONYERS CORP. SERVICES (B.V.I.) LTD.
COMMERCE HOUSE, WICKHAMS CAY 1
ROAD TOWN, D8 VG1110


Chief Financial Officer

Signatures
/s/ Chad Schafer, attorney-in-fact12/5/2019
**Signature of Reporting PersonDate

AquaVenture (NYSE:WAAS)
Historical Stock Chart

1 Year : From Mar 2019 to Mar 2020

Click Here for more AquaVenture Charts.

AquaVenture (NYSE:WAAS)
Intraday Stock Chart

Today : Tuesday 31 March 2020

Click Here for more AquaVenture Charts.

Latest WAAS Messages

{{bbMessage.M_Alias}} {{bbMessage.MSG_Date}} {{bbMessage.HowLongAgo}} {{bbMessage.MSG_ID}} {{bbMessage.MSG_Subject}}

Loading Messages....


No posts yet, be the first! No {{symbol}} Message Board. Create One! See More Posts on {{symbol}} Message Board See More Message Board Posts
$
Your Recent History
LSE
GKP
Gulf Keyst..
LSE
QPP
Quindell
FTSE
UKX
FTSE 100
LSE
IOF
Iofina
FX
GBPUSD
UK Sterlin..
Stocks you've viewed will appear in this box, letting you easily return to quotes you've seen previously.

Register now to create your own custom streaming stock watchlist.

NYSE, AMEX, and ASX quotes are delayed by at least 20 minutes.
All other quotes are delayed by at least 15 minutes unless otherwise stated.

By accessing the services available at ADVFN you are agreeing to be bound by ADVFN's Terms & Conditions

P: V:us D:20200331 08:32:23