SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/01/2018 | 3. Issuer Name and Ticker or Trading Symbol Covia Holdings Corp [ CVIA ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 72,651(1) | D | |
Common Stock | 3,414(2) | I | By spouse |
Common Stock | 419,653 | I | As trustee of Jenniffer D. Deckard Family Trust U/A/D dated February 28, 2010 |
Common Stock | 171,577 | I | As trustee of the Abbey Jo Deckard Trust |
Common Stock | 171,577 | I | As trustee of the Connor John Deckard Trust |
Common Stock | 20,400 | I | As trustee of Daryl K. Deckard Irrevocable Trust dated August 29, 2014 |
Common Stock | 70,720 | I | As spouse to the trustee of Jenniffer D. Deckard Irrevocable Trust dated December 27, 2012 |
Common Stock | 77,306 | I | By 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | (3) | 10/01/2019 | Common Stock | 66,762 | 7.15 | D | |
Employee Stock Option (Right to Buy) | (3) | 12/07/2020 | Common Stock | 20,400 | 17.85 | D | |
Employee Stock Option (Right to Buy) | (4) | 12/10/2023 | Common Stock | 17,000 | 52.3 | D | |
Employee Stock Option (Right to Buy) | (5) | 10/02/2024 | Common Stock | 7,140 | 80 | D | |
Employee Stock Option (Right to Buy) | 12/31/2019 | 05/15/2025 | Common Stock | 8,800 | 44.15 | D | |
Employee Stock Option (Right to Buy) | (6) | 03/01/2026 | Common Stock | 23,600 | 10.2 | D | |
Employee Stock Option (Right to Buy) | (7) | 03/01/2027 | Common Stock | 10,140 | 50.15 | D | |
Employee Stock Option (Right to Buy) | (5) | 10/02/2024 | Common Stock | 2,713 | 80 | I | By spouse |
Employee Stock Option (Right to Buy) | 12/31/2019 | 05/15/2025 | Common Stock | 2,193 | 44.15 | I | By spouse |
Employee Stock Option (Right to Buy) | (6) | 03/01/2026 | Common Stock | 1,760 | 10.2 | I | By spouse |
Employee Stock Option (Right to Buy) | (7) | 03/01/2027 | Common Stock | 660 | 50.15 | I | By spouse |
Explanation of Responses: |
1. Includes direct ownership and time vesting restricted stock units. |
2. Includes direct ownership and time vesting restricted stock units held by the reporting person's spouse. |
3. Immediately exercisable. |
4. One-fifth of this option is immediately exercisable. The remaining four-fifths of the option will vest on December 10, 2020. |
5. One-third of this option is immediately exercisable. The remaining two-thirds of the option will vest on December 31, 2018. |
6. Two-thirds of this option is immediately exercisable. The remaining one-third of the option will vest on March 1, 2019. |
7. One-third of this option is immediately exercisable. The remaining two-thirds of the option will vest on March 1, 2019 and March 1, 2020 in equal increments. |
Remarks: |
/s/ Gregory S. Harvey, as attorney-in-fact for Jenniffer D. Deckard under Power of Attorney | 06/11/2018 | |
** 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 5 (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 Number. |