SEC Form 4 · accession 0001209191-15-058531
DOVER SADDLERY INC · DOVR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin K Albert
Director
Period of report
Jul 1, 2015
Accepted (ET)
Jul 2, 2015 · 12:15 pm EDT
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 Stock | Jul 1, 2015 | U | 76,000 | $8.50 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock OptionF1 | $3.10 | Jul 1, 2015 | U | 10,500 | D | — | Nov 16, 2020 | Common Stock | 10,500 | 0 | D |
| Non-Qualified Stock OptionF2 | $3.32 | Jul 1, 2015 | U | 3,500 | D | — | Nov 27, 2021 | Common Stock | 3,500 | 0 | D |
| Non-Qualified Stock OptionF3 | $3.59 | Jul 1, 2015 | U | 3,500 | D | — | Nov 15, 2022 | Common Stock | 3,500 | 0 | D |
| Non-Qualified Stock OptionF4 | $4.90 | Jul 1, 2015 | U | 3,500 | D | — | Nov 19, 2023 | Common Stock | 3,500 | 0 | D |
Explanation of responses
- F1Granted on 11/17/2010 and vest on anniversary date of grant at 20% per year for five years. Per terms of option grant, upon a change of control, vesting of all options accelerates and occurs immediately prior to closing of transaction
- F2Granted on 11/28/2011 and vest on anniversary date of grant at 20% per year for five years. Per terms of option grant, upon a change of control, vesting of all options accelerates and occurs immediately prior to closing of transaction
- F3Granted on 11/16/2012 and vest on anniversary date of grant at 20% per year for five years. Per terms of option grant, upon a change of control, vesting of all options accelerates and occurs immediately prior to closing of transaction
- F4Granted on 11/20/2013 and vest on anniversary date of grant at 20% per year for five years. Per terms of option grant, upon a change of control, vesting of all options accelerates and occurs immediately prior to closing of transaction