SEC Form 4 · accession 0001209191-17-055304
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
Sep 30, 2017
Accepted (ET)
Oct 3, 2017 · 5:34 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 StockF1 | Sep 30, 2017 | M | 1,333 | $0.00 | A | 7,844 | D | |
| Common Stock | Sep 30, 2017 | F | 365 | $16.55 | D | 7,479 | D | |
| Common Stock | Sep 30, 2017 | M | 3,000 | $0.00 | A | 10,479 | D | |
| Common Stock | Sep 30, 2017 | F | 821 | $16.55 | D | 9,658 | D | |
| Common Stock | Sep 30, 2017 | M | 1,029 | $0.00 | A | 10,687 | D | |
| Common Stock | Sep 30, 2017 | F | 282 | $16.55 | D | 10,405 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Sep 30, 2017 | M | 1,333 | D | — | — | Common Stock | 1,333 | 1,334 | D |
| Performance Based Restricted Stock UnitsF2,F4 | — | Sep 30, 2017 | M | 3,000 | D | — | — | Common Stock | 3,000 | 0 | D |
| Restricted Stock UnitsF2,F5 | — | Sep 30, 2017 | M | 1,029 | D | — | — | Common Stock | 1,029 | 2,059 | D |
Explanation of responses
- F1Includes 544 shares acquired under the MarineMax Employee Stock Purchase Plan on various dates during Q3 of fiscal 2017.
- F2Each restricted stock unit represents a contingent right to receive one share of Marinemax, Inc. Common Stock.
- F3The restricted stock units vest in three annual installments beginning on September 30,2016.
- F4The 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.
- F5The restricted stock units vest in three annual installments beginning on September 30, 2017.