SEC Form 5 · accession 0001209191-15-058533
DOVER SADDLERY INC · DOVR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John W Mitchell
Director
Period of report
Dec 31, 2013
Accepted (ET)
Jul 2, 2015 · 12:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001071625
Table I — non-derivative securities
No Table I lines on this filing.
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 OptionF13,F15,F16,F14 | $4.90 | Nov 20, 2013 | A | 3,500 | A | — | Nov 19, 2023 | Common Stock | 3,500 | 30,940 | D |
| Non-Qualified Stock OptionF2,F1 | $8.78 | holding | — | — | — | — | Nov 16, 2016 | Common Stock | 7,000 | 30,940 | D |
| Non-Qualified Stock OptionF2,F1 | $8.78 | holding | — | — | — | — | Nov 16, 2016 | Common Stock | 3,500 | 30,940 | D |
| Non-Qualified Stock OptionF4,F3 | $4.50 | holding | — | — | — | — | Nov 13, 2017 | Common Stock | 3,500 | 30,940 | D |
| Non-Qualified Stock OptionF6,F5 | $1.24 | holding | — | — | — | — | Nov 20, 2018 | Common Stock | 2,940 | 30,940 | D |
| Non-Qualified Stock OptionF8,F7 | $3.10 | holding | — | — | — | — | Nov 16, 2020 | Common Stock | 3,500 | 30,940 | D |
| Non-Qualified Stock OptionF10,F9 | $3.32 | holding | — | — | — | — | Nov 27, 2021 | Common Stock | 3,500 | 30,940 | D |
| Non-Qualified Stock OptionF12,F11 | $3.59 | holding | — | — | — | — | Nov 15, 2022 | Common Stock | 3,500 | 30,940 | D |
Explanation of responses
- F1Granted on 11/17/2006 and vest on anniversary date of grant at rate 20% per year for five years.
- F10As of 12/31/2013, total 3,500 includes Non-Qualified Stock Options as granted in 2011.
- F11Granted on 11/16/2012 and vest on anniversary date of grant at rate 20% per year for five years.
- F12As of 12/31/2013, total 3,500 includes Non-Qualified Stock Options as granted in 2012.
- F13This transaction has been previously reported on a Form 4 filed in a timely manner.
- F14Granted on 11/20/2013 and vest on anniversary date of grant at rate 20% per year for five years.
- F15When exercisable price will be $4.90.
- F16As of 12/31/2013, total 3,500 includes Non-Qualified Stock Options as granted in 2013.
- F2As of 12/31/2013, total 10,500 includes Non-Qualified Stock Options as granted in 2006.
- F3Granted on 11/14/2007 and vest on anniversary date of grant at rate 20% per year for five years.
- F4As of 12/31/2013, total 3,500 includes Non-Qualified Stock Options as granted in 2007.
- F5Granted on 11/21/2008 and vest on anniversary date of grant at rate 20% per year for five years.
- F6As of 12/31/2013, total 2,940 includes Non-Qualified Stock Options as granted in 2008.
- F7Granted on 11/17/2010 and vest on anniversary date of grant at rate 20% per year for five years.
- F8As of 12/31/2013, total 3,500 includes Non-Qualified Stock Options as granted in 2010.
- F9Granted on 11/28/2011 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.