SEC Form 4 · accession 0001490281-18-000116
Groupon, Inc. · GRPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rich Williams
Officer — Chief Executive Officer · Director
Period of report
Oct 31, 2018
Accepted (ET)
Nov 2, 2018 · 5:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001490281
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 31, 2018 | M | 190,939 | $0.00 | A | 2,792,534 | D | |
| Common Stock | Oct 31, 2018 | F | 84,586 | $3.27 | D | 2,707,948 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Oct 31, 2018 | M | 190,939 | D | Oct 31, 2018 | — | Common Stock | 190,939 | 763,757 | D |
Explanation of responses
- F1Shares withheld by the issuer to satisfy the mandatory tax withholding requirement upon vesting of restricted stock units. This is not an open market sale of securities.
- F2Each restricted stock unit represents a contingent right to receive one share of Common Stock.
- F3The restricted stock units reported on this line will vest in five equal annual installments beginning on October 31, 2018, in each case subject to Mr. Williams' continued employment with the Company through each vesting date.