SEC Form 4 · accession 0001351952-17-000051
COLUMBIA SPORTSWEAR CO · COLM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen E Babson
Director
Period of report
Jul 3, 2017
Accepted (ET)
Jul 6, 2017 · 4:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001050797
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 3, 2017 | M | 494 | — | A | 119,874 | D | |
| Common StockF1 | Jul 3, 2017 | M | 365 | — | A | 120,239 | D | |
| Common StockF1 | Jul 3, 2017 | M | 535 | — | A | 120,774 | D | |
| Common Stock | holding | — | — | — | 2,000 | I | By Wife | |
| Common StockF2 | holding | — | — | — | 4,500 | I | By LP | |
| Common StockF3 | holding | — | — | — | 11,000 | I | By Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F5,F4 | — | Jul 3, 2017 | M | 494 | D | Jul 1, 2015 | — | Common Stock | 494 | 0 | D |
| Restricted Stock UnitsF1,F6,F4 | — | Jul 3, 2017 | M | 365 | D | Jul 1, 2017 | — | Common Stock | 365 | 730 | D |
| Restricted Stock UnitsF1,F7,F4 | — | Jul 3, 2017 | M | 535 | D | Jul 1, 2017 | — | Common Stock | 535 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a right to receive one share of COLM common stock.
- F2Includes 4,500 shares held by Babson Capital Partners, LP, for which Mr. Babson is general partner.
- F3Includes 11,000 shares held by the Jean McCall Babson Trust, for which Mr. Babson is trustee and whose beneficiares include members of Mr. Babson's family.
- F4N/A
- F5On 6/3/14 the reporting person was granted 1,486 restricted stock units, 33% of the restricted stock units vest annually (a) on the first anniverary of the first day of the first full calendar month following the award date (the "Vest Date"), and (b) on each of the two subsequent anniversaries following the first anniversary of the Vest Date. One share of Common Stock will be automatically delivered to the reporting person for each restricted stock unit that vests. If a vesting date falls on a weekend or any other day on which the Nasdaq Stock Market ("NSM") or any national securities exchange on which the Common Stock then is principally traded (the "Exchange") is not open, affected RSUs shall vest on the next following NSM or Exchange business day, as the case may be.
- F6On 6/10/16 the reporting person was granted 1,095 restricted stock units, 33% of the restricted stock units vest annually (a) on the first anniverary of the first day of the first full calendar month following the award date (the "Vest Date"), and (b) on each of the two subsequent anniversaries following the first anniversary of the Vest Date. One share of Common Stock will be automatically delivered to the reporting person for each restricted stock unit that vests. If a vesting date falls on a weekend or any other day on which the Nasdaq Stock Market ("NSM") or any national securities exchange on which the Common Stock then is principally traded (the "Exchange") is not open, affected RSUs shall vest on the next following NSM or Exchange business day, as the case may be.
- F7On 6/10/16 the reporting person was granted 535 restricted stock units, 100% of the restricted stock units vest on the first anniverary of the first day of the first full calendar month following the award date (the "Vest Date"). One share of Common Stock will be automatically delivered to the reporting person for each restricted stock unit that vests. If a vesting date falls on a weekend or any other day on which the Nasdaq Stock Market ("NSM") or any national securities exchange on which the Common Stock then is principally traded (the "Exchange") is not open, affected RSUs shall vest on the next following NSM or Exchange business day, as the case may be.