SEC Form 4 · accession 0001209191-16-143346
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
Sep 30, 2016
Accepted (ET)
Sep 30, 2016 · 4:52 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 | Sep 30, 2016 | M | 7,500 | $4.44 | A | 7,501 | D | |
| Common StockF2 | Sep 30, 2016 | S | 7,500 | $38.6699 | 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 | Sep 30, 2016 | M | 7,500 | D | — | Mar 23, 2021 | Common Stock | 7,500 | 243,602 | 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 5, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $37.89 to $39.15, 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.
- F3All of the shares subject to the option have previously vested.