SEC Form 4 · accession 0001209191-16-090940
Dave & Buster's Entertainment, Inc. · PLAY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A /wi Jones
Director
Period of report
Jan 11, 2016
Accepted (ET)
Jan 12, 2016 · 3:51 pm EST
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 | Jan 11, 2016 | M | 5,000 | $4.44 | A | 6,813 | D | |
| Common StockF2 | Jan 11, 2016 | S | 5,000 | $38.8292 | D | 1,813 | 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)F3 | $4.44 | Jan 11, 2016 | M | 5,000 | D | — | Jun 1, 2020 | Common Stock | 5,000 | 130,051 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 19, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $38.283 to 39.56, 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 this range.
- F3All of the shares subject to the option have previously vested.