Statement of Changes in Beneficial Ownership (4)
19 February 2020 - 6:45AM
Edgar (US Regulatory)
FORM 4
[ ]
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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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
*
Avalos Jorge |
2. Issuer Name and Ticker or Trading Symbol
ARC DOCUMENT SOLUTIONS, INC.
[
ARC
]
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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) Chief Financial Officer |
(Last)
(First)
(Middle)
C/O ARC DOCUMENT SOLUTIONS, INC.,, 12657 ALCOSTA BLVD., SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/13/2020 |
(Street)
SAN RAMON, CA 94583
(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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Common Stock | 2/13/2020 | | A | | 100000 (1) | A | $0 | 380015 | D | |
Common Stock | 2/13/2020 | | F | | 12417 (2) | D | $0 | 367598 | D | |
Common Stock | 2/16/2020 | | F | | 8071 (3) | D | $0 | 359527 | D | |
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 |
Explanation of Responses: |
(1) | Grant of restricted stock which vests 33.3% on each of the first three anniversaries of the grant date. |
(2) | These shares were withheld by the Issuer as payment for the tax liability associated with the vesting of shares of restricted stock on February 13, 2020 that had previously been granted to the Reporting Person. |
(3) | These shares were withheld by the Issuer as payment for the tax liability associated with the vesting of shares of restricted stock on February 16, 2020 that had previously been granted to the Reporting Person. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Avalos Jorge C/O ARC DOCUMENT SOLUTIONS, INC., 12657 ALCOSTA BLVD., SUITE 200 SAN RAMON, CA 94583 |
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| Chief Financial Officer |
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Signatures
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/s/ Jorge Avalos | | 2/18/2020 |
**Signature of Reporting Person | Date |
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