SEC Form 4 · accession 0001209191-17-012637
DUNKIN' BRANDS GROUP, INC. · DNKN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Emmett
Officer — Chief Legal and HR Officer
Period of report
Feb 16, 2017
Accepted (ET)
Feb 21, 2017 · 4:11 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 | Feb 17, 2017 | M | 5,000 | $3.02 | A | 16,900 | D | |
| Common StockF1 | Feb 17, 2017 | S | 5,000 | $55.00 | D | 11,900 | 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 | Feb 17, 2017 | M | 5,000 | D | — | Feb 23, 2020 | Common Stock | 5,000 | 10,000 | D |
| Option to Purchase Common StockF3 | $54.95 | Feb 16, 2017 | A | 61,088 | A | — | Feb 16, 2024 | Common Store | 61,088 | 61,088 | 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 $55.00 to $55.03 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.
- F3The option vests in four equal annual installments.