SEC Form 4 · accession 0001209191-18-053225
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, 2018
Accepted (ET)
Oct 2, 2018 · 4:46 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 Stock | Sep 30, 2018 | M | 1,334 | $0.00 | A | 14,254 | D | |
| Common Stock | Sep 30, 2018 | F | 325 | $21.25 | D | 13,929 | D | |
| Common Stock | Sep 30, 2018 | M | 1,029 | $0.00 | A | 14,958 | D | |
| Common Stock | Sep 30, 2018 | F | 251 | $21.25 | D | 14,707 | D | |
| Common Stock | Sep 30, 2018 | M | 861 | $0.00 | A | 15,568 | D | |
| Common Stock | Sep 30, 2018 | F | 210 | $21.25 | D | 15,358 | D | |
| Common Stock | Sep 30, 2018 | M | 3,000 | $0.00 | A | 18,358 | D | |
| Common Stock | Sep 30, 2018 | F | 731 | $21.25 | D | 17,627 | D | |
| Common Stock | Sep 30, 2018 | M | 10,469 | $0.00 | A | 28,096 | D | |
| Common Stock | Sep 30, 2018 | F | 2,550 | $21.25 | D | 25,546 | 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 UnitsF1,F2 | — | Sep 30, 2018 | M | 1,334 | D | — | — | Common Stock | 1,334 | 0 | D |
| Restricted Stock UnitsF1,F3 | — | Sep 30, 2018 | M | 1,029 | D | — | — | Common Stock | 1,029 | 1,030 | D |
| Restricted Stock UnitsF1,F4 | — | Sep 30, 2018 | M | 861 | D | — | — | Common Stock | 861 | 1,727 | D |
| Performance Based Restricted Stock UnitsF1,F5 | — | Sep 30, 2018 | M | 3,000 | D | — | — | Common Stock | 3,000 | 0 | D |
| Performance Based Restricted Stock UnitsF1,F6 | — | Sep 30, 2018 | M | 10,469 | D | — | — | Common Stock | 10,469 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Marinemax, Inc. Common Stock.
- F2The restricted stock units vested in three annual installments beginning on September 30, 2016.
- F3The restricted stock units vested in three annual installments beginning on September 30, 2017.
- F4The restricted stock units vested in three annual installments beginning on September 30, 2018.
- F5The performance-based restricted stock units vested on September 30, 2018. These units were awarded based on performance criteria established on November 15, 2014 and tied to inventory management and operations during fiscal 2017.
- F6The performance-based restricted stock units vested 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.