SEC Form 4 · accession 0001209191-16-150409
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
Nov 15, 2016
Accepted (ET)
Nov 16, 2016 · 11:49 am 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 15, 2016 | M | 2,500 | $8.30 | A | 2,501 | D | |
| Common StockF2 | Nov 15, 2016 | S | 2,500 | $45.0656 | 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 | Nov 15, 2016 | M | 2,500 | D | May 3, 2015 | May 3, 2023 | Common Stock | 2,500 | 61,706 | 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 June 9, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $44.87 to $45.30, 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, 2015 and 2016 and on October 9, 2014. 26,998 options will vest in equal installments on May 3, 2017 and 2018.