SEC Form 4 · accession 0001209191-17-033055
Del Frisco's Restaurant Group, Inc. · DFRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Pennison Jr.
Officer — Chief Financial Officer
Period of report
May 15, 2017
Accepted (ET)
May 17, 2017 · 4:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001415301
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 15, 2017 | M | 1,926 | $13.00 | A | 44,536 | D | |
| Common StockF1 | May 15, 2017 | S | 1,926 | $17.80 | D | 42,610 | D | |
| Common Stock | May 17, 2017 | M | 901 | $13.00 | A | 43,511 | D | |
| Common Stock | May 17, 2017 | S | 901 | $17.60 | D | 42,610 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $13.00 | May 15, 2017 | M | 1,926 | D | — | Jul 26, 2022 | Common Stock | 1,926 | 68,074 | D |
| Stock Option (Right to Buy)F2 | $13.00 | May 17, 2017 | M | 901 | D | — | Jul 26, 2022 | Common Stock | 901 | 67,173 | D |
Explanation of responses
- F1This transaction was executed in multiple sales at prices ranging from $17.80 to $17.825. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2Stock Options vested in four equal installments on the first, second, third and fourth anniversaries of the 7/26/2012 grant date.