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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Straehla Arty 4727 GAILLARDIA PARKWAY, SUITE 200 OKLAHOMA CITY, OK 73142 |
X | Chief Executive Officer |
/s/ Mark Layton as attorney-in-fact for Arty Straehla | 10/21/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | These shares of common stock, par value $0.01 per share (the "Common Stock"), of Mammoth Energy Services, Inc. (the "Issuer") were purchased under the directed share program in connection with the Issuer's initial public offering (the "IPO"). The underwriters reserved for sale at the IPO price up to 5% of the Common Stock being offered in the IPO for sale to the Issuer's employees, executive officers, directors, business associates and related persons at the public offering price. Shares of Common Stock bought by the reporting person in the directed share program are subject to a lock-up agreement entered into by the reporting person in connection with the IPO. |
(2) | The shares are held in a custodial account for the benefit of two of Mr. Straehla's grandchildren. Mr. Straehla maintains investment control over the account. |
(3) | These securities are restricted stock units that were granted under the Issuer's 2016 Equity Incentive Plan. All of these units will vest in three substantially equal installments beginning on October 19, 2017. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer. |
Remarks: Exhibit 24 - Power of Attorney |