SEC Form 4 · accession 0001495479-16-000110
Bravo Brio Restaurant Group, Inc. · BBRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian T O'Malley
Officer — Chief Executive Officer · Director
Period of report
Dec 6, 2016
Accepted (ET)
Dec 8, 2016 · 9:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001495479
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares, no par value per share | Dec 6, 2016 | M | 49,100 | $1.45 | A | 168,147 | D | |
| Common Shares, no par value per shareF2,F3 | Dec 6, 2016 | S | 49,100 | $3.7675 | D | 119,047 | D | |
| Common Shares, no par value per share | Dec 7, 2016 | M | 41,330 | $1.45 | A | 160,377 | D | |
| Common Shares, no par value per shareF2 | Dec 7, 2016 | S | 15,000 | $3.75 | D | 145,377 | 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) | $1.45 | Dec 6, 2016 | M | 49,100 | D | Oct 26, 2010 | Jun 29, 2016 | Common Shares, no par value per share | 49,100 | 41,330 | D |
| Stock Option (right to buy) | $1.45 | Dec 7, 2016 | M | 41,330 | D | Oct 26, 2010 | Jun 29, 2016 | Common Shares, no par value per share | 41,330 | 0 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2Represents shares sold to pay the exercise price and applicable withholding taxes associated with the exercise of stock options pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.75 to $3.90, inclusive. Mr. O'Malley has provided to Bravo Brio Restaurant Group, Inc. (the "Company") and undertakes to provide to any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.