SEC Form 4 · accession 0001209191-16-118548
DUNKIN' BRANDS GROUP, INC. · DNKN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul C Carbone
Officer — Chief Financial Officer
Period of report
May 5, 2016
Accepted (ET)
May 9, 2016 · 5:43 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 5, 2016 | M | 319 | $3.02 | A | 22,912 | D | |
| Common Stock | May 5, 2016 | S | 319 | $47.00 | D | 22,593 | D | |
| Common Stock | May 9, 2016 | M | 5,681 | $3.02 | A | 28,274 | D | |
| Common Stock | May 9, 2016 | S | 5,681 | $47.00 | D | 22,593 | 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 | $3.02 | May 5, 2016 | M | 319 | D | — | Feb 23, 2020 | Common Stock | 319 | 12,657 | D |
| Option to Purchase Common StockF1 | $3.02 | May 9, 2016 | M | 5,681 | D | — | Feb 23, 2020 | Common Stock | 5,681 | 6,976 | D |
Explanation of responses
- F1The option vests based upon time (five equal annual installments that began on 2/23/2011) and performance criteria.