SEC Form 4 · accession 0001101396-18-000056
DELTA APPAREL, INC · DLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deborah H Merrill
Officer — CFO & President, Delta Group
Period of report
Nov 19, 2018
Accepted (ET)
Nov 20, 2018 · 4:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001101396
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 Par ValueF1 | Nov 19, 2018 | M | 75,000 | $0.00 | A | 153,150 | D | |
| Common StockF2 | Nov 19, 2018 | F | 34,763 | $18.93 | D | 118,387 | 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 UnitsF3,F4 | — | Nov 19, 2018 | M | 75,000 | D | — | — | Common Stock $0.01 Par Value | 75,000 | 0 | D |
Explanation of responses
- F1These shares were acquired in connection with the vesting of service-based restricted stock units. The vested restricted stock units converted into Delta Apparel, Inc. common stock on a one-for-one basis.
- F2These shares were withheld by Delta Apparel, Inc. for the payment of a tax liability incident to the vesting of the restricted stock units.
- F3Each restricted stock unit represents the right to receive one share of common stock of Delta Apparel, Inc.
- F4The restricted stock units vested upon the Company's November 19, 2018, filing of its Annual Report on Form 10-K with the U.S. Securities and Exchange Commission for its fiscal year ended September 29, 2018.