SEC Form 4 · accession 0001209191-19-012581
MARLIN BUSINESS SERVICES CORP · MRLN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward Ralph Dietz Jr.
Officer — General Counsel
Period of report
Feb 21, 2019
Accepted (ET)
Feb 22, 2019 · 4:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001260968
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Feb 21, 2019 | F | 582 | $23.25 | D | 27,628 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF4 | $25.75 | Mar 31, 2017 | A | 5,716 | A | Mar 31, 2020 | Mar 31, 2024 | Common Stock | 5,716 | 5,716 | D |
| Option to Purchase Common StockF4 | $28.25 | Mar 20, 2018 | A | 5,201 | A | Mar 20, 2021 | Mar 20, 2025 | Common Stock | 5,201 | 5,201 | D |
Explanation of responses
- F1Represents the delivery of shares to pay the tax liability associated with the vesting of certain restricted stock units.
- F2Includes 955 shares of restricted stock where, as of the date of this filing, the restrictions have not yet lapsed and 2,298 restricted stock units.
- F3Includes 208 shares acquired under the Marlin Business Services Corp 2012 Employee Stock Purchase Plan on December 31, 2018.
- F4Date listed is the date of full vesting. Vests one-third per year beginning on the first anniversary of the date of grant.