SEC Form 4 · accession 0001548309-17-000012
SEARS HOMETOWN & OUTLET STORES, INC. · SHOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J Buckley
Officer — VP, Marketing and e-Commerce
Period of report
Jan 30, 2017
Accepted (ET)
Feb 1, 2017 · 5:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001548309
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock (stock units)F1,F2 | $0.00 | Jan 30, 2017 | A | 9,667 | A | Jan 30, 2020 | Jan 30, 2020 | Common Stock | 9,667 | 17,071 | D |
Explanation of responses
- F1Each share of Phantom Stock (stock units) is the economic equivalent of one share of the Company's common stock.
- F2The shares of Phantom Stock (stock units) vest in three (3) substantially equal installments on the first, second and third anniversaries of the transaction date.