SEC Form 4 · accession 0001209191-17-026260
Dave & Buster's Entertainment, Inc. · PLAY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan J Lacy
Director
Period of report
Apr 5, 2017
Accepted (ET)
Apr 7, 2017 · 4:29 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 | Apr 5, 2017 | M | 14,702 | $4.44 | A | 55,485 | D | |
| Common StockF1 | Apr 5, 2017 | S | 14,702 | $60.3658 | D | 40,783 | D | |
| Common Stock | Apr 6, 2017 | M | 10,298 | $4.44 | A | 51,081 | D | |
| Common StockF2 | Apr 6, 2017 | S | 10,298 | $59.9044 | D | 40,783 | D | |
| Common Stock | holding | — | — | — | 131,238 | I | Alan J. Lacy Irrevocable Qualified Annuity Trust No. 2016-3 |
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 | Apr 5, 2017 | M | 14,702 | D | — | Jun 1, 2020 | Common Stock | 14,702 | 132,464 | D |
| Stock Option (Right to Buy)F3 | $4.44 | Apr 6, 2017 | M | 10,298 | D | — | Jun 1, 2020 | Common Stock | 10,298 | 122,166 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $60.200 to $60.500, 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $59.690 to $60.000, 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.