SEC Form 4 · accession 0001216337-16-000100
BIG 5 SPORTING GOODS Corp · BGFV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer Holden Dunbar
Director
Period of report
Nov 4, 2016
Accepted (ET)
Nov 8, 2016 · 3:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001156388
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.01 | Nov 4, 2016 | M | 3,000 | $13.17 | A | 27,547 | D | |
| Common Stock, par value $.01 | Nov 4, 2016 | M | 3,000 | $13.00 | A | 30,547 | D | |
| Common Stock, par value $.01 | Nov 4, 2016 | M | 3,000 | $8.26 | A | 33,547 | D | |
| Common Stock, par value $.01 | Nov 4, 2016 | M | 3,000 | $6.33 | A | 36,547 | D | |
| Common Stock, par value $.01 | Nov 4, 2016 | M | 1,500 | $11.93 | A | 38,047 | D | |
| Common Stock, par value $.01F1 | Nov 4, 2016 | S | 13,500 | $17.55 | D | 24,547 | D | |
| Common Stock, par value $.01F2 | holding | — | — | — | 19,143 | I | By the Lilac II Trust dated June 28, 2000 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $13.17 | Nov 4, 2016 | M | 3,000 | D | — | Jun 9, 2019 | Common Stock, par value $.01 | 3,000 | 0 | D |
| Employee Stock Option (right to buy)F4 | $13.00 | Nov 4, 2016 | M | 3,000 | D | — | Jun 9, 2020 | Common Stock, par value $.01 | 3,000 | 0 | D |
| Employee Stock Option (right to buy)F5 | $8.26 | Nov 4, 2016 | M | 3,000 | D | — | Jun 14, 2021 | Common Stock, par value $.01 | 3,000 | 0 | D |
| Employee Stock Option (right to buy)F6 | $6.33 | Nov 4, 2016 | M | 3,000 | D | — | Jun 12, 2022 | Common Stock, par value $.01 | 3,000 | 0 | D |
| Employee Stock Option (right to buy)F7 | $11.93 | Nov 4, 2016 | M | 1,500 | D | — | Jun 5, 2024 | Common Stock, par value $.01 | 1,500 | 1,500 | D |
Explanation of responses
- F1Represents the weighted average sale price for multiple transactions at prices ranging from $17.475 to $17.60 per share. The undersigned undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F2These shares are owned indirectly by the reporting person as Trustee of the Lilac II Trust.
- F3These options were granted on June 9, 2009, and vested in four equal annual installments, with the final vesting date being June 9, 2013.
- F4These options were granted on June 9, 2010, and vested in four equal annual installments, with the final vesting date being June 9, 2014.
- F5These options were granted on June 14, 2011, and vested in four equal annual installments, with the final vesting date being June 14, 2015.
- F6These options were granted on June 12, 2012, and vested in four equal annual installments, with the final vesting date being June 12, 2016.
- F7These options were granted on June 5, 2014, and vest or vested in four equal annual installments, with the final vesting date being June 5, 2018.