SEC Form 4 · accession 0001209191-16-117381
DUNKIN' BRANDS GROUP, INC. · DNKN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John H Costello
Officer — President, Global Mktg & Innov
Period of report
May 2, 2016
Accepted (ET)
May 4, 2016 · 4:22 pm EDT
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 | May 2, 2016 | M | 8,757 | $7.31 | A | 41,210 | D | |
| Common Stock | May 2, 2016 | M | 25,000 | $25.18 | A | 66,210 | D | |
| Common Stock | May 2, 2016 | M | 19,000 | $37.26 | A | 85,210 | D | |
| Common Stock | May 2, 2016 | S | 52,757 | $46.63 | D | 32,453 | 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 StockF1 | $7.31 | May 2, 2016 | M | 2,627 | D | — | Mar 9, 2021 | Common Stock | 2,627 | 0 | D |
| Option to Purchase Common StockF2 | $7.31 | May 2, 2016 | M | 6,130 | D | — | Mar 9, 2021 | Common Stock | 6,130 | 0 | D |
| Option to Purchase Common StockF3 | $25.18 | May 2, 2016 | M | 25,000 | D | — | Dec 11, 2021 | Common Stock | 25,000 | 0 | D |
| Option to Purchase Common StockF4 | $37.26 | May 2, 2016 | M | 19,000 | D | — | Feb 12, 2023 | Common Stock | 19,000 | 19,000 | D |
Explanation of responses
- F1On 03/09/2011, the reporting person was granted an option to purchase 13,134 shares of Common Stock. The option vests based upon time criteria (five equal annual installments that began on 03/09/2012).
- F2On 03/09/2011, the reporting person was granted an option to purchase 30,647 shares of Common Stock. The option vests based upon time (five equal annual installments that began on 03/09/2012) and performance criteria.
- F3On 12/11/2011, the reporting person was granted an option to purchase 100,000 shares of common stock. The options vests based upon time criteria (four equal annual installments that began on 12/12/2012).
- F4On 02/12/2013, the reporting person was granted an option to purchase 76,000 shares of common stock. The options vests based upon time criteria (four equal annual installments that began on 02/12/2014).