SEC Form 4 · accession 0001181431-15-000957
DUNKIN' BRANDS GROUP, INC. · DNKN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nigel Travis
Officer — CEO and Chairman · Director
Period of report
Jan 13, 2015
Accepted (ET)
Jan 15, 2015 · 4:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001357204
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 13, 2015 | M | 20,000 | $3.02 | A | 294,377 | D | |
| Common StockF2 | Jan 13, 2015 | S | 20,000 | $45.20 | D | 274,377 | 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 StockF3 | $3.02 | Jan 13, 2015 | M | 20,000 | D | — | Feb 23, 2020 | Common Stock | 20,000 | 863,800 | D |
Explanation of responses
- F1The sales reported in this row were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 05/05/2014.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.47, inclusive. The reporting person undertakes to provide Dunkin' Brands Group, Inc., any security holder of Dunkin' Brands Group, Inc., 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 footnote (2) to this Form 4.
- F3On 2/23/2010, the reporting person was granted an option to purchase 1,915,499 shares of Common Stock. The option vests based upon time (five equal annual installments that began on 2/23/2010) and performance (investment returns to investment funds affiliated with Bain Capital Partners, LLC, the Carlyle Group and Thomas H. Lee Partners, L.P. (collectively the "Sponsors")) criteria.