SEC Form 4 · accession 0001209191-18-014254
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 23, 2018
Accepted (ET)
Feb 27, 2018 · 7:32 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 23, 2018 | M | 144,435 | $3.02 | A | 419,333 | D | |
| Common Stock | Feb 23, 2018 | S | 144,435 | $62.01 | D | 274,898 | D | |
| Common Stock | Feb 26, 2018 | M | 58,530 | $3.02 | A | 333,428 | D | |
| Common Stock | Feb 26, 2018 | S | 58,530 | $62.03 | D | 274,898 | D | |
| Common Stock | Feb 27, 2018 | M | 2,700 | $3.02 | A | 277,598 | D | |
| Common Stock | Feb 27, 2018 | S | 2,700 | $62.10 | 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 23, 2018 | M | 144,435 | D | — | Feb 23, 2020 | Common Stock | 144,435 | 379,010 | D |
| Option to Purchase Common StockF1 | $3.02 | Feb 26, 2018 | M | 58,530 | D | — | Feb 23, 2020 | Common Stock | 58,530 | 320,480 | D |
| Option to Purchase Common StockF1 | $3.02 | Feb 27, 2018 | M | 2,700 | D | — | Feb 23, 2020 | Common Stock | 2,700 | 317,780 | D |
Explanation of responses
- F1The option previously vested based upon time (five equal annual installments that began on 02/23/2010) and performance criteria