SEC Form 4 · accession 0001209191-15-068351
Dave & Buster's Entertainment, Inc. · PLAY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Mulleady
Officer — SVP, RE & Dev
Period of report
Aug 26, 2015
Accepted (ET)
Aug 28, 2015 · 10:48 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001525769
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 26, 2015 | M | 5,000 | $5.07 | A | 5,001 | D | |
| Common StockF2 | Aug 26, 2015 | S | 4,800 | $32.52 | D | 201 | D | |
| Common StockF3 | Aug 26, 2015 | S | 200 | $33.36 | D | 1 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Opton (right to buy)F4 | $5.07 | Aug 26, 2015 | M | 5,000 | D | — | Apr 16, 2022 | Common Stock | 5,000 | 42,660 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to Rule 10b5-1 trading plan adopted by the reporting person on January 7, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $32.17 to $32.82, inclusive. The reporting person undertakes to provide to Dave & Buster's Entertainment, Inc., any security holder of Dave & Buster's Entertainment, Inc. 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 ranges set forth in footnotes (2) and (3) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.34 to $33.38, inclusive.
- F4The option vested in installments on April 16, 2013, 2014, and 2015 and on October 9, 2014. 13,499 options will vest in installments on April 16, 2016 and 2017.