SEC Form 4 · accession 0001535031-16-000093
Tumi Holdings, Inc. · TUMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerome Griffith
Officer — CEO and President · Director
Period of report
Mar 3, 2016
Accepted (ET)
Mar 7, 2016 · 4:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001535031
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 par value per shareF1 | Mar 3, 2016 | M | 6,344 | — | A | 1,342,349 | D | |
| Common Stock, par value $0.01 per shareF2 | holding | — | — | — | 370,000 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Mar 3, 2016 | M | 6,344 | A | Mar 3, 2016 | Mar 3, 2016 | Common Stock, $0.01 par value per share | 6,344 | 12,688 | D |
Explanation of responses
- F1As previously reported, each restricted stock unit was awarded on March 3, 2015 and represented the contingent right to receive one share of Tumi Holdings, Inc. common stock. Pursuant to the terms of the Restricted Stock Unit Agreement among the Reporting Person and the Issuer, the restricted stock units vested on March 3, 2016 and the shares were issued to the Reporting Person.
- F2Shares held by Griffith Investment Management Company, LLC (the "LLC"), of which Mr. Griffith is a Manager. The membership units in the LLC are held by four trusts, for which Mr. Griffith disclaims beneficial ownership of the securities held by the LLC except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of these shares for Section 16 or for any other purpose.