SEC Form 4 · accession 0001209191-16-092499
Dave & Buster's Entertainment, Inc. · PLAY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dolf A Berle
Officer — Pres. & COO
Period of report
Jan 19, 2016
Accepted (ET)
Jan 20, 2016 · 3:12 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 19, 2016 | M | 4,000 | $4.44 | A | 4,001 | D | |
| Common StockF2 | Jan 19, 2016 | S | 4,000 | $33.9929 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $4.44 | Jan 19, 2016 | M | 4,000 | D | Mar 23, 2015 | Mar 23, 2021 | Common Stock | 4,000 | 288,952 | 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 July 8, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $33.25 to 35.17, 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.
- F3The option vested in installments on March 23, 2012, 2013, 2014, 2015 and on October 9, 2014. 36,582 options will vest on March 23, 2016.