SEC Form 4 · accession 0001209191-16-148682
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
Nov 4, 2016
Accepted (ET)
Nov 7, 2016 · 5:18 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 | Nov 4, 2016 | M | 3,804 | $3.02 | A | 24,905 | D | |
| Common StockF1 | Nov 4, 2016 | S | 3,804 | $47.24 | D | 21,101 | 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 StockF2 | $3.02 | Nov 4, 2016 | M | 3,804 | D | — | Feb 23, 2020 | Common Stock | 3,804 | 3,172 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.24 to $47.25 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 Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.
- F2The option vests based upon time (five equal annual installments that began on 2/23/2011) and performance criteria.