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Shanfelter Austin J – ‘4/A’ for 9/12/22 re: Orion Group Holdings Inc.

On:  Wednesday, 9/28/22, at 11:42am ET   ·   For:  9/12/22   ·   As:  Officer   ·   Accession #:  1567619-22-17886   ·   File #:  1-33891

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 9/28/22  Shanfelter Austin J               4/A        Officer     1:7K   Orion Group Holdings Inc.         Broadridge Fin’l… Inc/FA

Amendment to Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4/A         Amendment to Statement of Changes in Beneficial     HTML      7K 
                Ownership of Securities by an Insider --                         
                doc1.xml/3.6                                                     




        

This ‘4/A’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Amendment to Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
SHANFELTER AUSTIN J

(Last)(First)(Middle)
12000 AEROSPACE AVENUE
SUITE 300

(Street)
HOUSTONTX77034

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
Orion Group Holdings Inc [ ORN ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
XOfficer (give title below) Other (specify below)
Executive Chairman
3. Date of Earliest Transaction (Month/Day/Year)
9/12/22
4. If Amendment, Date of Original Filed (Month/Day/Year)
9/14/22
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock (1) 9/12/22M 179,211 (2)A$0.00 (2)343,076D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Time Vested Restricted Stock Units (1) (3) 9/12/22M 179,211 (3) (3)Common Stock (1)179,211$0.000.00D
Explanation of Responses:
(1)  On September 12, 2022, Mr. Shanfelter filed a Form 4 to report the vesting of 179,211 restricted stock units into shares of common stock and corresponding withholding of 40,054 shares of common stock to satisfy tax withholding obligations. This amendment to the Form 4 is being filed to amend the first row in Table 1, and to add a row in Table 2, with respect to the foregoing transaction. The second line of Table I remains unchanged , thus accurately reporting Mr. Shanfelter's current beneficial ownership of 303,922 shares in Column 5 of Table I.
(2)  Vesting of time vested restricted stock units (awarded May 19, 2022) as a result of Mr. Shanfelter fulfilling his term as Interim Chief Executive Officer on September 12, 2022.
(3)  Represents Time Vested Restricted Stock Units that cliff vest and were to be settled at the time Mr. Shanfelter fulfilled his term as Interim Chief Executive Officer.
Austin J Shanfelter, Executive Chairman 9/28/22
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
____________
Transaction Code:
    M    Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.

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