0001514732-15-000115.txt : 20151217 0001514732-15-000115.hdr.sgml : 20151217 20151217172004 ACCESSION NUMBER: 0001514732-15-000115 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150927 FILED AS OF DATE: 20151217 DATE AS OF CHANGE: 20151217 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SAExploration Holdings, Inc. CENTRAL INDEX KEY: 0001514732 STANDARD INDUSTRIAL CLASSIFICATION: OIL AND GAS FIELD EXPLORATION SERVICES [1382] IRS NUMBER: 274867100 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1160 DAIRY ASHFORD RD. STREET 2: SUITE 160 CITY: HOUSTON STATE: TX ZIP: 77079 BUSINESS PHONE: 281-258-4400 MAIL ADDRESS: STREET 1: 1160 DAIRY ASHFORD RD. STREET 2: SUITE 160 CITY: HOUSTON STATE: TX ZIP: 77079 FORMER COMPANY: FORMER CONFORMED NAME: Trio Merger Corp. DATE OF NAME CHANGE: 20110307 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Whiteley Brent CENTRAL INDEX KEY: 0001580789 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35471 FILM NUMBER: 151294513 MAIL ADDRESS: STREET 1: 3333 8TH STREET SE, 3RD FLOOR CITY: CALGARY STATE: A0 ZIP: T2G 3A4 4 1 wf-form4_145039079366114.xml FORM 4 X0306 4 2015-09-27 0 0001514732 SAExploration Holdings, Inc. SAEX 0001580789 Whiteley Brent 1160 DAIRY ASHFORD RD., SUITE 160 HOUSTON TX 77079 1 1 0 1 CFO, Gen. Counsel, Secretary Member of 10% owner group Common Stock 2015-09-27 4 M 0 6360 A 291324 D Restricted Stock Units 2015-09-27 4 M 0 6360 D 2017-06-29 Common Stock 6360.0 12720 D Stock Option (Right to Buy) 4.12 2025-06-29 Common Stock 39138.0 39138 D The shares were issued pursuant to the SAExploration Holdings, Inc. 2013 Long-Term Incentive Plan (the "Plan") on September 27, 2015. Each restricted stock unit issued pursuant to the Plan represents the right to receive, upon vesting, either (i) a share of Common Stock of the Company or (ii) an amount of cash equal to the value of a share of the Company's Common Stock on the date of transfer. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date. The restricted stock units will vest 1/3 on the date which is 90 days after the issuance and 1/3 each on the first and second anniversaries of the grant. The stock option becomes exercisable as follows: (i) 1/3 of the Option becomes exercisable after 90 days of continuous "Service" (as defined in the Plan) from the date of the grant; (ii) 1/3 of the Option becomes exercisable after 12 months of continuous Service from the Date of Grant; and (iii) the remaining 1/3 of the Option becomes exercisable after 24 months of continuous Service from the date of thegrant. /s/ Brent Whiteley 2015-12-16