0001179110-19-009040.txt : 20190802 0001179110-19-009040.hdr.sgml : 20190802 20190802171455 ACCESSION NUMBER: 0001179110-19-009040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190628 FILED AS OF DATE: 20190802 DATE AS OF CHANGE: 20190802 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Krohg Olaf N. CENTRAL INDEX KEY: 0001763951 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37903 FILM NUMBER: 19996871 MAIL ADDRESS: STREET 1: C/O AQUAVENTURE HOLDINGS LIMITED STREET 2: 14400 CARLSON CRICLE CITY: TAMPA STATE: FL ZIP: 33626 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AquaVenture Holdings Ltd CENTRAL INDEX KEY: 0001422841 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] IRS NUMBER: 000000000 STATE OF INCORPORATION: D8 BUSINESS ADDRESS: STREET 1: COMMERCE HOUSE, WICKHAMS CAY 1 STREET 2: P.O. BOX 3140, ROAD TOWN CITY: TORTOLA STATE: D8 ZIP: VG1110 BUSINESS PHONE: 813-855-8636 MAIL ADDRESS: STREET 1: 14400 CARLSON CIRCLE CITY: TAMPA STATE: FL ZIP: 33626 FORMER COMPANY: FORMER CONFORMED NAME: AQUAVENTURE HOLDINGS LLC DATE OF NAME CHANGE: 20080104 4 1 edgar.xml FORM 4 - X0306 4 2019-06-28 0 0001422841 AquaVenture Holdings Ltd WAAS 0001763951 Krohg Olaf N. C/O CONYERS CORP. SERVICES (B.V.I.) LTD. COMMERCE HOUSE, WICKHAMS CAY 1 ROAD TOWN D8 VG1110 VIRGIN ISLANDS, BRITISH 0 1 0 0 Segment CEO Ordinary Share 2019-06-28 4 A 0 383 16.97 A 4283 D Ordinary Shares 2019-07-31 4 M 0 821 0 A 5104 D Ordinary Shares 2019-07-31 4 F 0 242 17.23 D 4862 D Ordinary Shares 3 I By son Restricted Share Units 2019-07-31 4 M 0 821 0 D Ordinary Shares 821 8219 D The reporting person is voluntarily reporting the acquisition of shares of the issuer's ordinary shares pursuant to the 2016 Employee Stock Purchase Plan (the ESPP). This transaction is also exempt pursuant to Rule 16b-3(c). In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's ordinary shares on June 28, 2019. 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 July 31, 2019. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein, if any. Each Restricted Share Unit represents a contingent right to receive one Ordinary Share of the Company. 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 January 31, 2019, and the remaining 75% of such shares shall vest in equal quarterly installments over the following three (3) years. /s/ Chaf Schafer, attorney-in-fact 2019-08-02