SEC Form 4 · accession 0001101396-18-000057
DELTA APPAREL, INC · DLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert W Humphreys
Officer — Chairman and CEO · Director
Period of report
Nov 19, 2018
Accepted (ET)
Nov 20, 2018 · 4:45 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 | A | 42,000 | $0.00 | A | 582,155 | D | |
| Common Stock $0.01 Par ValueF2 | Nov 19, 2018 | F | 19,467 | $18.93 | D | 562,688 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were acquired in connection with the vesting of a performance-based restricted stock unit award. The performance-based 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, and 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 performance-based restricted stock units.