SEC Form 4 · accession 0001535031-16-000095
Tumi Holdings, Inc. · TUMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Mardy
Officer — CFO and EVP · Director
Period of report
Mar 3, 2016
Accepted (ET)
Mar 7, 2016 · 4:29 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, par value $0.01 per shareF1 | Mar 3, 2016 | M | 1,254 | — | A | 666,949 | D | |
| Common Stock, par value $0.01 per shareF2 | holding | — | — | — | 215,000 | I | See footnote | |
| Common Stock, par value $0.01 per shareF3 | holding | — | — | — | 8,000 | I | See footnote | |
| Common Stock, par value $0.01 per shareF4 | holding | — | — | — | 8,000 | 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 | 1,254 | A | Mar 3, 2016 | Mar 3, 2016 | Common Stock, $0.01 par value per share | 1,254 | 2,509 | 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 The 2012 Mardy Family Trust, for which the spouse of the Reporting Person is the trustee. The Reporting Person disclaims beneficial ownership of these securities 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.
- F3Shares held by Grant O'Donnell 2012 Trust, for which the spouse of the Reporting Person is the trustee. The Reporting Person disclaims beneficial ownership of these securities 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.
- F4Shares held by Theodore O'Donnell 2012 Trust, for which the spouse of the Reporting Person is the trustee. The Reporting Person disclaims beneficial ownership of these securities 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.