SEC Form 4 · accession 0001158449-15-000106
ADVANCE AUTO PARTS INC · AAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Tammy M Finley
Officer — EVP, HR and General Counsel
Period of report
May 26, 2015
Accepted (ET)
May 28, 2015 · 4:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001158449
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 26, 2015 | M | 1,158 | $40.38 | A | 6,241 | D | |
| Common Stock | May 26, 2015 | M | 521 | $40.38 | A | 6,762 | D | |
| Common Stock | May 26, 2015 | M | 1,262 | $66.15 | A | 8,024 | D | |
| Common StockF2,F3 | May 26, 2015 | F | 913 | $157.91 | D | 7,111 | D | |
| Common Stock | May 26, 2015 | S | 1,328 | $157.87 | D | 5,783 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF4 | $40.38 | May 26, 2015 | M | 1,158 | D | — | Dec 1, 2016 | Common Stock | 1,158 | 0 | D |
| Stock Appreciation Rights | $40.38 | May 26, 2015 | M | 521 | D | Mar 1, 2013 | Dec 1, 2016 | Common Stock | 521 | 0 | D |
| Stock Appreciation RightsF5 | $66.15 | May 26, 2015 | M | 1,262 | D | — | Dec 1, 2017 | Common Stock | 1,262 | 0 | D |
Explanation of responses
- F1The Amount of Securities Beneficially Owned Following Reported Transaction includes the additional 24 shares purchased as reported in the Form 3/A filed with the SEC on January 23, 2015.
- F2Represents shares withheld to satisfy exercise price and tax withholding obligations upon the exercise of Stock Appreciation Rights.
- F3The price reported in Column 4 is a weighted average price. These shares were exercised in multiple transactions at prices ranging from $157.84 to $157.98. The Reporting Person has provided to the Issuer, and undertakes to provide any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4These shares became exercisable in three approximately equal annual installments beginning on December 1, 2010.
- F5These shares became exercisable in three approximately equal annual installments beginning on December 1, 2011.