SEC Form 4 · accession 0001209191-18-045575
DUNKIN' BRANDS GROUP, INC. · DNKN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nigel Travis
Officer — Exec. Chairman · Director
Period of report
Aug 2, 2018
Accepted (ET)
Aug 6, 2018 · 5:19 pm EDT
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 | Aug 2, 2018 | M | 112,216 | $51.67 | A | 387,597 | D | |
| Common StockF1 | Aug 2, 2018 | S | 112,216 | $70.31 | D | 275,381 | D | |
| Common Stock | Aug 3, 2018 | G | 20,000 | $0.00 | D | 255,381 | D | |
| Common Stock | Aug 3, 2018 | M | 50,524 | $51.67 | A | 305,905 | D | |
| Common StockF3 | Aug 3, 2018 | S | 50,524 | $70.49 | D | 255,381 | 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 StockF4 | $51.67 | Aug 2, 2018 | M | 112,216 | D | — | Feb 28, 2021 | Common Stock | 112,216 | 141,077 | D |
| Option to Purchase Common StockF4 | $51.67 | Aug 3, 2018 | M | 50,524 | D | — | Feb 28, 2021 | Common Stock | 50,524 | 90,553 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. Theses shares were sold in multiple transactions at prices ranging from $70.00 to $70.73 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.
- F2Represents shares of common stock that the reporting person donated as a gift to the Travis Family Fund, a donor-advised fund.
- F3The price reported in Column 4 is a weighted average price. Theses shares were sold in multiple transactions at prices ranging from $70.06 to $70.74 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 (3) to this Form 4.
- F4The option previously vested based upon time criteria.