SEC Form 4 · accession 0001209191-16-134302
MARINEMAX INC · HZO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paulee C Day
Officer — EVP & Chief Legal Officer
Period of report
Jul 26, 2016
Accepted (ET)
Jul 28, 2016 · 4:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001057060
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF2 | Jul 26, 2016 | M | 1,635 | $6.10 | A | 15,046 | D | |
| Common stockF3 | Jul 26, 2016 | S | 1,635 | $21.48 | D | 13,411 | D | |
| Common stock | Jul 26, 2016 | M | 15,000 | $7.48 | A | 28,411 | D | |
| Common stockF4 | Jul 26, 2016 | S | 814 | $20.58 | D | 27,597 | D | |
| Common stockF5 | Jul 26, 2016 | S | 14,186 | $21.18 | D | 13,411 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F6 | $6.10 | Jul 26, 2016 | M | 1,635 | D | — | Nov 18, 2021 | Common Stock | 1,635 | 0 | D |
| Employee Stock Option (Right to Buy)F7 | $7.48 | Jul 26, 2016 | M | 15,000 | D | — | Nov 20, 2022 | Common Stock | 15,000 | 2,500 | D |
Explanation of responses
- F1The shares were exercised and sole pursuant to a 10b5-1 Sales Plan.
- F2Includes 1,743 shares acquired under the MarineMax Employee Stock Purchase Plan on various dates during Q2 of fiscal 2016.
- F3This transaction was executed in multiple trades at prices ranging from $21.43 to $21.54. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.
- F4This transaction was executed in multiple trades at prices ranging from $20.57 to $20.58. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.
- F5This transaction was executed in multiple trades at prices ranging from $20.78 to $21.66. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.
- F61/36 of the total number of options granted vested and became exercisable on a monthly basis for a three-year period beginning on November 18, 2011, the initial grant date.
- F71/36 of the total number of options granted vested and became exercisable on a monthly basis for a three-year period beginning on November 20, 2012, the initial grant date.