SEC Form 4 · accession 0001209191-18-011900
DUNKIN' BRANDS GROUP, INC. · DNKN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen Raskopf
Officer — SVP,Chief Communication Offcr
Period of report
Feb 16, 2018
Accepted (ET)
Feb 21, 2018 · 4:16 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 16, 2018 | M | 2,500 | $3.02 | A | 2,500 | D | |
| Common Stock | Feb 16, 2018 | M | 2,500 | $51.67 | A | 5,000 | D | |
| Common Stock | Feb 16, 2018 | M | 3,000 | $47.39 | A | 8,000 | D | |
| Common Stock | Feb 16, 2018 | M | 2,500 | $44.35 | A | 10,500 | D | |
| Common Stock | Feb 16, 2018 | M | 2,500 | $54.95 | A | 13,000 | D | |
| Common Stock | Feb 16, 2018 | S | 13,000 | $62.82 | D | 0 | D | |
| Common Stock | Feb 20, 2018 | M | 1,986 | $3.02 | A | 1,986 | D | |
| Common Stock | Feb 20, 2018 | M | 17,000 | $51.67 | A | 18,986 | D | |
| Common Stock | Feb 20, 2018 | M | 3,500 | $47.39 | A | 22,486 | D | |
| Common Stock | Feb 20, 2018 | M | 3,500 | $44.35 | A | 25,986 | D | |
| Common Stock | Feb 20, 2018 | M | 3,500 | $54.95 | A | 29,486 | D | |
| Common Stock | Feb 20, 2018 | S | 29,486 | $62.27 | D | 0 | 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 | Feb 16, 2018 | M | 2,500 | D | — | Feb 23, 2020 | Common Stock | 2,500 | 1,986 | D |
| Option to Purchase Common StockF2 | $51.67 | Feb 16, 2018 | M | 2,500 | D | — | Feb 28, 2021 | Common Stock | 2,500 | 32,961 | D |
| Option to Purchase Common StockF3 | $47.39 | Feb 16, 2018 | M | 3,000 | D | — | Feb 12, 2022 | Common Stock | 3,000 | 37,984 | D |
| Option to Purchase Common StockF4 | $44.35 | Feb 16, 2018 | M | 2,500 | D | — | Feb 23, 2023 | Common Stock | 2,500 | 30,970 | D |
| Option to Purchase Common StockF5 | $54.95 | Feb 16, 2018 | M | 2,500 | D | — | Feb 16, 2024 | Common Stock | 2,500 | 22,654 | D |
| Option to Purchase Common StockF1 | $3.02 | Feb 20, 2018 | M | 1,986 | D | — | Feb 23, 2020 | Common Stock | 1,986 | 0 | D |
| Option to Purchase Common StockF2 | $51.67 | Feb 20, 2018 | M | 17,000 | D | — | Feb 28, 2021 | Common Stock | 17,000 | 15,961 | D |
| Option to Purchase Common StockF3 | $47.39 | Feb 20, 2018 | M | 3,500 | D | — | Feb 12, 2022 | Common Stock | 3,500 | 34,484 | D |
| Option to Purchase Common StockF4 | $44.35 | Feb 20, 2018 | M | 3,500 | D | — | Feb 23, 2023 | Common Stock | 3,500 | 27,470 | D |
| Option to Purchase Common StockF5 | $54.95 | Feb 20, 2018 | M | 3,500 | D | — | Feb 16, 2024 | Common Stock | 3,500 | 19,154 | D |
Explanation of responses
- F1The option previously vested based upon time (five equal annual installments that began on 02/23/2011) and performance criteria.
- F2This option vests in four equal annual installments that began on 02/28/2015.
- F3The option vests in four equal annual installments that began on 2/12/2016.
- F4The option vests in four equal annual installments that began on 2/23/2017.
- F5The option vests in four equal annual installments that began on 2/16/2018.