SEC Form 5 · accession 0001209191-15-010629
DOVER SADDLERY INC · DOVR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan AR Grylls
Officer — Chief Strategy Officer · Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 9, 2015 · 10:52 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001071625
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F1 | Oct 20, 2014 | P | 38,665 | $1.94 | A | 179,000 | D | |
| Common StockF1 | holding | — | — | — | 179,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock OptionF2,F22,F21 | $1.94 | Oct 20, 2014 | C | 38,665 | D | — | Dec 29, 2014 | Common Stock | 38,665 | 91,845 | D |
| Incentive Stock OptionF4,F3 | $4.50 | holding | — | — | — | — | Nov 13, 2017 | Common Stock | 15,725 | 91,845 | D |
| Non-Qualified Stock OptionF5,F3 | $4.50 | holding | — | — | — | — | Nov 13, 2017 | Common Stock | 3,500 | 20,440 | D |
| Incentive Stock OptionF7,F6 | $1.24 | holding | — | — | — | — | Nov 20, 2018 | Common Stock | 13,220 | 91,845 | D |
| Non-Qualified Stock OptionF8,F6 | $1.24 | holding | — | — | — | — | Nov 20, 2018 | Common Stock | 2,940 | 20,440 | D |
| Incentive Stock OptionF10,F9 | $3.10 | holding | — | — | — | — | Nov 16, 2020 | Common Stock | 15,725 | 91,845 | D |
| Non-Qualified Stock OptionF11,F9 | $3.10 | holding | — | — | — | — | Nov 16, 2020 | Common Stock | 3,500 | 20,440 | D |
| Incentive Stock OptionF13,F12 | $3.32 | holding | — | — | — | — | Nov 27, 2021 | Common Stock | 15,725 | 91,845 | D |
| Non-Qualified Stock OptionF14,F12 | $3.32 | holding | — | — | — | — | Nov 27, 2021 | Common Stock | 3,500 | 20,440 | D |
| Incentive Stock OptionF16,F15 | $3.59 | holding | — | — | — | — | Nov 15, 2022 | Common Stock | 15,725 | 91,845 | D |
| Non-Qualified Stock OptionF17,F15 | $3.59 | holding | — | — | — | — | Nov 15, 2022 | Common Stock | 3,500 | 20,440 | D |
| Incentive Stock OptionF19,F18 | $4.90 | holding | — | — | — | — | Nov 19, 2023 | Common Stock | 15,725 | 91,845 | D |
| Non-Qualified Stock OptionF20,F18 | $4.90 | holding | — | — | — | — | Nov 19, 2023 | Common Stock | 3,500 | 20,440 | D |
Explanation of responses
- F1The reporting person transferred 54,735 shares of the issuer's Common Stock (the "Shares") to The Jonathan Andrew Richard Grylls Living Trust u/d/t dated September 27, 2006 (the "Trust"), of which the reporting person is one of the Trustees. The reporting person continues to have a pecuniary interest in the Trust, as the beneficiary of the Trust, has investment control over the Shares; and as the settlor of the Trust, has the right to revoke the Trust without the consent of another person. Includes (i) 54,735 shares of the issuer's Common Stock (the "Shares") held by the Trust, as the result of the transfer reported hereby, and (ii) 124,265 Shares held by the reporting person.
- F10As of 12/31/2014, total includes 15,725 Incentive Stock Options granted in 2010. Together with Non-Qualified Stock Options, the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F11As of 12/31/2014, total includes 3,500 Non-Qualified Stock Options granted in 2010. Together with Incentive Stock Options, the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F12Granted on 11/28/2011 and vest on anniversary date of grant at rate 20% per year for five years.
- F13As of 12/31/2014, total includes 15,725 Incentive Stock Options granted in 2011. Together with Non-Qualified Stock Options, the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F14As of 12/31/2014, total includes 3,500 Non-Qualified Stock Options granted in 2011. Together with Incentive Stock Options, the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F15Granted on 11/16/2012 and vest on anniversary date of grant at rate 20% per year for five years.
- F16As of 12/31/2014, total includes 15,725 Incentive Stock Options granted in 2012. Together with Non-Qualified Stock Options, the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F17As of 12/31/2014, total includes 3,500 Non-Qualified Stock Options granted in 2012. Together with Incentive Stock Options, the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F18Granted on 11/20/2013 and vest on anniversary date of grant at rate 20% per year for five years.
- F19As of 12/31/2014, total includes 15,725 Incentive Stock Options granted in 2013. Together with Non-Qualified Stock Options, the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F2This transaction has been previously reported on a Form 4 filed in a timely manner.
- F20As of 12/31/2014, total includes 3,500 Non-Qualified Stock Options granted in 2013. Together with Incentive Stock Options, the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F21All options had vested attend of 5-year vesting schedule on December 29,2009.
- F22Reflects total outstanding Incentive Stock Options held by this reporting person as of 12/31/2014. Together with Non-Qualified Stock Options the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F3Granted on 11/14/2007 and vest on anniversary date of grant at rate 20% per year for five years.
- F4As of 12/31/2014, total includes 15,725 Incentive Stock Options granted in 2007. Together with Non-Qualified Options, the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F5As of 12/31/2014, total includes 3,500 Non-Qualified Stock Options granted in 2007. Together with Incentive Stock Options, the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F6Granted on 11/21/2008 and vest on anniversary date of grant at rate 20% per year for five years.
- F7As of 12/31/2014, total includes 13,220 Incentive Stock Options granted in 2008. Together with Non-Qualified Stock Options, the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F8As of 12/31/2014, total includes 3,500 Non-Qualified Stock Options granted in 2008. Together with Incentive Stock Options, the total stock options held by this reporting person as of 12/31/2014 equals 112,285.
- F9Granted on 11/17/2010 and vest on anniversary date of grant at rate 20% per year for five years.
Remarks
All transactions reported on this Form 5 have been previously reported on Forms 3 and 4 in a timely manner.