SEC Form 4
FORM 4 UNITED 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
 
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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*
Tattoli Mark Damian

(Last) (First) (Middle)
6316 WINDFERN ROAD

(Street)
HOUSTON TX 77040

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
CORE LABORATORIES N V [ CLB ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP, Gen Counsel & Secretary
3. Date of Earliest Transaction (Month/Day/Year)
07/02/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
10/05/2021
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form 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)
Code V Amount (A) or (D) Price
Common Shares 08/01/2021 M V 120 A $0.00 3,480.539 D
Common Shares 08/01/2021 F V 29 D $33.36 3,451.539 D
Common Shares(1) 08/24/2021 J V 1.082 A $0.00 3,452.621 D
Common Shares 10/01/2021 M 700 A $0.00 4,152.621 D
Common Shares 10/01/2021 F 169 D $29.05 3,983.621 D
Common Shares 20 I Custodial account
Common Shares 1,694.841 I 401 (k) Plan
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Shares (2) 10/01/2021 M 700 (2) (2) Common Shares 700 $0.00 8,000 D
Restricted Shares (3) 08/01/2021 A V 1,500 (3) (3) Common Shares 1,500 $0.00 8,700 D
Restricted Shares (4) 08/01/2021 M V 120 (4) (4) Common Shares 120 $0.00 7,200 D
Restricted Shares (5) 07/02/2021 A V 7,320 (5) (5) Common Shares 7,320 $0.00 7,320 D
Performance Shares (6) 07/02/2021 A V 6,900 (6) (6) Common Shares 6,900 $0.00 6,900 D
Explanation of Responses:
1. Shares acquired through a broker-sponsored dividend reinvestment plan.
2. Represents the time-based vesting of 700 shares from a grant of 4,200 Restricted Shares awarded to Mr. Tattoli on October 1, 2020. The Restricted Shares vest annually over six years on the anniversary of the grant date in the amount of 1/6th of the grant total, provided the reporting person remains in continuous service on each vesting date.
3. The Restricted Shares granted will vest annually over six years on the anniversary of the grant date in the amount of 1/6th of the grant total, provided the reporting person remains in continuous service on each vesting date.
4. Represents the time-based vesting of 120 shares from a grant of 720 Restricted Shares awarded to Mr. Tattoli on August 1, 2018. The Restricted Shares vest annually over six years on the anniversary of the grant date in the amount of 1/6th of the grant total, provided the reporting person remains in continuous service on each vesting date.
5. Mr. Tattoli has 6 grants of Restricted Shares outstanding as of July 2, 2021, and of those the following shares remain unvested as of such date: 110 shares from the grant on March 1, 2016, 480 shares from the grant on December 1, 2017, 480 shares from the grant on August 1, 2018, 800 shares from the grant on May 1, 2019, 1,250 shares from the grant on May 1, 2020, and 4,200 shares from the grant on October 1, 2020. The Restricted Shares granted will vest annually over six years on the anniversary of the grant date in the amount of 1/6th of the grant total, provided the reporting person remains in continuous service on each vesting date.
6. Assuming a recipient's continued employment (or death or disability while employed) and the satisfaction of certain performance goals is achieved, this award would vest at the end of a three-year performance period that began on January 1, 2021 and ends on December 31, 2023 (the "Performance Period"). At the end of the Performance Period, 100% of the award will vest if the Company is in the top 75th percentile of Return On Invested Capital of the Bloomberg Peer Group as measured and determined by the Compensation Committee at the end of the Performance Period.
Remarks:
The original Form 4 filed on October 5, 2021 is being amended by this Form 4 amendment to correct the number of Common Shares directly held by Mr. Tattoli as of the date of this amended filing. The original Form 4 failed to include (i) the acquisition of 1.082 shares pursuant to a broker-sponsored dividend reinvestment plan and (ii) the time-based vesting of 120 shares on August 1, 2021 in connection with a grant of Restricted Shares on August 1, 2018. The number of unvested Restricted Shares held by Mr. Tattoli as of July 2, 2021 subject to time-based vesting was underreported by 120 shares due to an administrative error. Mr. Tattoli held 7,320 Restricted Shares as of July 2, 2021, not 7,200 Restricted Shares as reported in the original Form 4. No other changes have been made to the original Form 4.
/s/ Mark Tattoli 10/06/2021
** Signature of Reporting Person Date
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).
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