SEC Form 4 · accession 0001209191-16-108799
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
Mar 15, 2016
Accepted (ET)
Mar 16, 2016 · 2:30 pm 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 | Mar 15, 2016 | M | 4,961 | $5.07 | A | 4,962 | D | |
| Common Stock | Mar 15, 2016 | M | 39 | $8.30 | A | 5,001 | D | |
| Common StockF2 | Mar 15, 2016 | S | 5,000 | $37.5325 | 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 | $8.30 | Mar 15, 2016 | M | 39 | D | May 3, 2015 | May 3, 2023 | Common Stock | 39 | 67,456 | D |
| Stock Option (Right to Buy)F4 | $5.07 | Mar 15, 2016 | M | 4,961 | D | Apr 16, 2015 | Apr 16, 2022 | Common Stock | 4,961 | 13,499 | 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 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 $37.50 to $38.00, 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 range set forth in footnote (2) to this Form 4.
- F3The option vested in installments on May 3, 2014 and 2015 and on October 9, 2014. 40,497 options will vest in equal installments on May 3, 2016, 2017 and 2018.
- 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.