| Accession Number: | 0001678463-21-000034 |
| Date: | 2021-03-13 |
| Issuer: | FORTERRA, INC. (FRTA) |
| Original Submission Date: |
BHATIA VIKRANT
511 E. JOHN CARPENTER FREEWAY
SUITE 600
IRVING, TX 75062
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2021-03-13 | M | 8,688 | a | $0.00 | 103,983 | direct | ||
| COMMON STOCK | 2021-03-13 | F | 3,419 | d | $23.49 | 100,564 | direct | ||
| COMMON STOCK | 2021-03-14 | M | 18,254 | a | $0.00 | 118,818 | direct | ||
| COMMON STOCK | 2021-03-14 | F | 7,183 | d | $23.49 | 111,635 | direct |
| 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 Exercisable | Expiration 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| RESTRICTED STOCK UNIT | 0.0 | 2021-03-13 | deemed execution date | M | 8,688 (d) | common stock 8,688 | $0.00 | 17,376 | direct | |||
| RESTRICTED STOCK UNIT | 0.0 | 2021-03-14 | deemed execution date | M | 18,254 (d) | common stock 18,254 | $0.00 | 18,254 | direct |
| ID | footnote |
|---|---|
| f1 | shares withheld on vesting of restricted stock units to cover applicable withholding taxes, with the number of shares withheld based on the march 12, 2021 closing price. |
| f2 | each restricted stock unit represents the right to receive, at settlement, one share of common stock. |
| f3 | represents vesting of one-third of restricted stock units granted march 13, 2020. |
| f4 | represents vesting of one-third of restricted stock units granted march 14, 2019. |
