Form Type: 4

SEC EDGAR Link
Accession Number:0001437749-19-007085
Date:2019-04-10
Issuer: CONCRETE PUMPING HOLDINGS, INC. (BBCP)
Original Submission Date:

Reporting Person:

HUMPHRIES IAIN
C/O CONCRETE PUMPING HOLDINGS, INC.
6461 DOWNING STREET DENVER, CO 80229

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-04-10 A 884,111 a $0.00 884,111 direct
COMMON STOCK 2019-04-10 A 25,624 a $0.00 909,735 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 represents restricted shares of common stock. 25% of such shares will vest in five substantially equal installments on each of december 6, 2019, december 6, 2020, december 6, 2021, december 6, 2022 and december 6, 2023, provided that the reporting person is in the employ of the issuer or a subsidiary of the issuer on the vesting dates. the remaining 75% will become available for vesting in three equal installments if the common stock closes at or above $13.00, $16.00 and $19.00 per share, respectively (each, a "stock price target"), for 30 consecutive business days. upon the achievement of a stock price target, the related tranche of restricted common stock will vest in equal increments over the first, second and third anniversaries of the date on which such stock price target was achieved. if a stock price target is not achieved on or before december 6, 2023, then the related tranche of restricted shares will be forfeited. if a stock price target is achieved but the related tranche
f2 represents restricted shares of common stock. such shares will become available for vesting in three equal installments if the common stock closes at or above $13.00, $16.00 and $19.00 per share, respectively (each, a "stock price target"), for 30 consecutive business days. upon the achievement of a stock price target, the related tranche of restricted common stock will vest in equal increments over the first, second and third anniversaries of the date on which such stock price target was achieved. if a stock price target is not achieved on or before december 6, 2023, then the related tranche of restricted shares will be forfeited. if a stock price target is achieved but the related tranche of restricted shares is not fully vested by december 6, 2023, such shares may, under certain circumstances, continue to vest after that date.
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