SEC Form 4 · accession 0001225208-19-004421
Designer Brands Inc. · DBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Rawlins
Officer — Chief Executive Officer · Director
Period of report
Mar 1, 2019
Accepted (ET)
Mar 4, 2019 · 7:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001319947
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Shares | Mar 1, 2019 | M | 9,464 | $12.34 | A | 66,918 | D | |
| Class A Common Shares | Mar 1, 2019 | M | 4,113 | $17.43 | A | 71,031 | D | |
| Class A Common Shares | Mar 1, 2019 | M | 4,100 | $26.66 | A | 75,131 | D | |
| Class A Common Shares | Mar 1, 2019 | M | 3,786 | $4.65 | A | 78,917 | D | |
| Class A Common SharesF2 | Mar 1, 2019 | S | 21,463 | $30.26 | D | 57,454 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option - Right to BuyF3 | $17.43 | Mar 1, 2019 | M | 4,113 | D | — | Mar 22, 2021 | Class A Common Shares | 4,113 | 6,209 | D |
| Stock Option - Right to BuyF3 | $12.34 | Mar 1, 2019 | M | 9,464 | D | — | Mar 23, 2020 | Class A Common Shares | 9,464 | 0 | D |
| Stock Option - Right to BuyF3 | $26.66 | Mar 1, 2019 | M | 4,100 | D | — | Mar 27, 2022 | Class A Common Shares | 4,100 | 8,756 | D |
| Stock Option - Right to Buy | $4.65 | Mar 1, 2019 | M | 3,786 | D | Apr 1, 2014 | Apr 1, 2019 | Class A Common Shares | 3,786 | 0 | D |
Explanation of responses
- F1Option exercises and sales were made pursuant to a Rule 10b5-1 trading plan adopted by Mr. Rawlins on December 28, 2018.
- F2Price represents a weighted average of the sale price. Shares were sold at prices ranging from $30.07 to $30.61. Upon the request by the SEC staff, the Issuer, or a security holder of the Issuer, the reporting person will provide the full information about the number of shares sold at each separate price.
- F3Option vests 20% per year beginning on the first anniversary of the date of grant.