SEC Form 4 · accession 0001209191-18-013121
DUNKIN' BRANDS GROUP, INC. · DNKN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nigel Travis
Officer — CEO & Chairman · Director
Period of report
Feb 21, 2018
Accepted (ET)
Feb 23, 2018 · 5:45 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 21, 2018 | M | 53,059 | $3.02 | A | 327,957 | D | |
| Common Stock | Feb 21, 2018 | S | 53,059 | $62.01 | D | 274,898 | D | |
| Common Stock | Feb 22, 2018 | M | 10,757 | $3.02 | A | 285,655 | D | |
| Common Stock | Feb 22, 2018 | S | 10,757 | $62.00 | D | 274,898 | 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 21, 2018 | M | 53,059 | D | — | Feb 23, 2020 | Common Stock | 53,059 | 523,445 | D |
| Option to Purchase Common StockF1 | $3.02 | Feb 22, 2018 | M | 10,757 | D | — | Feb 23, 2020 | Common Stock | 10,757 | 512,688 | D |
Explanation of responses
- F1The option previously vested based upon time (five equal annual installments that began on 02/23/2010) and performance criteria