SEC Form 4 · accession 0001209191-16-150287
MARINEMAX INC · HZO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony E. Cassella Jr.
Officer — VP & Chief Accounting Officer
Period of report
Nov 14, 2016
Accepted (ET)
Nov 15, 2016 · 5:56 pm EST
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 StockF1 | Nov 15, 2016 | M | 1,332 | $0.00 | A | 6,332 | D | |
| Common Stock | Nov 15, 2016 | F | 365 | $17.10 | D | 5,967 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Based Restricted Stock UnitsF2,F3 | — | Nov 14, 2016 | A | 3,000 | A | — | — | Common Stock | 3,000 | 3,000 | D |
| Performance Based Restricted Stock UnitsF2,F4 | — | Nov 14, 2016 | A | 10,469 | A | — | — | Common Stock | 10,469 | 10,469 | D |
| Restricted Stock UnitsF2,F5 | — | Nov 14, 2016 | A | 3,088 | A | — | — | Common Stock | 3,088 | 3,088 | D |
| Restricted Stock UnitsF2,F6 | — | Nov 15, 2016 | M | 1,332 | D | — | — | Common Stock | 1,332 | 1,336 | D |
Explanation of responses
- F1Includes 440 shares acquired under the MarineMax Employee Stock Purchase Plan on various dates during Q1 of fiscal 2017.
- F2Each restricted stock unit represents a contingent right to receive one share of Marinemax, Inc. Common Stock.
- F3The performance-based restricted stock units vest on September 30, 2017. These units were awarded based on performance criteria established on November 15, 2014 and tied to inventory management and operations during fiscal 2016.
- F4The performance-based restricted stock units vest on September 30, 2018. These units were awarded based on performance criteria established on November 12, 2015 and tied to inventory management and operations during fiscal 2016.
- F5The restricted stock units vest in three annual installments beginning on September 30, 2017.
- F6The restricted stock units vest in three annual installments beginning on November 15, 2015.