SEC Form 4/A · accession 0001510192-16-000147
RESOURCES CONNECTION, INC. · RGP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Kate W Duchene
Officer — Chief Legal Officer & EVP HR
Period of report
Sep 9, 2016
Accepted (ET)
Nov 4, 2016 · 4:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001084765
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 Option (right to buy)F1,F2,F3 | $14.52 | Sep 9, 2016 | A | 38,000 | A | — | Sep 9, 2026 | Common Stock | 38,000 | 38,000 | D |
Explanation of responses
- F1This amendment is filed to correct the Date of Earliest Transaction, Conversion or Exercise Price of Derivative Security, Transaction Date and Expiration Date as described below. On September 16, 2016, a Form 4 was filed for Kate W. Duchene reporting the grant of 38,000 Non-Qualified Stock Options on September 7, 2016. The date of the grant was actually September 9, 2016. On October 6, 2016, a second Form 4 was filed for Ms. Duchene re-reporting the grant of 38,000 Non-Qualified Stock Options to reflect the correct grant date of September 9, 2016; however, this second Form 4 did not indicate that it was an amendment to the first Form 4 filed on September 16, 2016. (Please see footnote 2 for additional information.)
- F2This amendment clarifies that (a) only one award of 38,000 Non-Qualified Stock Options was granted to Ms. Duchene on September 9, 2016. with a Transaction Date of September 9, 2016 and an Expiration Date of September 9, 2026, (b) the correct exercise price is $14.52, and (c) that no other or additional grants of Non-Qualified Stock Options were made to Ms. Duchene on September 7, 2016. Therefore the Form 4 filed for Ms. Duchene on October 6, 2016 should be disregarded.
- F3Options vest 25% a year from date of grant.