SEC Form 4 · accession 0001209191-16-149631
Dave & Buster's Entertainment, Inc. · PLAY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jay L Tobin
Officer — SVP, Gen Counsel & Sec
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 2:12 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 | Nov 10, 2016 | M | 2,500 | $4.44 | A | 104,571 | D | |
| Common StockF2 | Nov 10, 2016 | S | 2,500 | $45.014 | D | 102,071 | 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 | Nov 10, 2016 | M | 2,500 | D | — | Jun 1, 2020 | Common Stock | 2,500 | 18,186 | 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 22, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $45.00 to $45.05, 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.