Statement of Changes in Beneficial Ownership (4)
15 1월 2022 - 6:18AM
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).
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
*
BHATIA VIKRANT |
2. Issuer Name and Ticker or Trading Symbol
Forterra, Inc.
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FRTA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Pres, Water Pipe & Products |
(Last)
(First)
(Middle)
511 E. JOHN CARPENTER FREEWAY, SUITE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/12/2022 |
(Street)
IRVING, TX 75062
(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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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 |
Restricted Stock Unit | (1) | 1/12/2022 | | A | | 38370 | | (2) | (2) | Common Stock | 38370.0 | $0 | 38370 | D | |
Explanation of Responses: |
(1) | Each performance-based restricted stock unit (PSU) represents the right to receive, at settlement, one share of Forterra, Inc. common stock. |
(2) | Reflects PSUs for which the Issuer has certified performance in connection with the pending transaction under that certain Agreement and Plan of Merger dated February 19, 2021 among Quikrete Holdings, Incl, Jordan Merger Sub, Inc. and the Issuer. Such PSUs remain subject to time-based vesting requirements. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BHATIA VIKRANT 511 E. JOHN CARPENTER FREEWAY SUITE 600 IRVING, TX 75062 |
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| Pres, Water Pipe & Products |
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Signatures
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/s/ Lori M. Browne, attorney-in-fact for Vikrant Bhatia | | 1/14/2022 |
**Signature of Reporting Person | Date |
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