SEC Form 4 · accession 0000016099-17-000112
LUBYS INC · LUB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Tropoli
Officer — Chief Operating Officer · Director
Period of report
Dec 8, 2017
Accepted (ET)
Dec 12, 2017 · 4:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000016099
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1,F2 | $2.82 | Dec 8, 2017 | A | 107,571 | A | Dec 8, 2020 | Dec 8, 2027 | Common Stock | 107,571 | 107,571 | D |
| Restricted Stock UnitF3,F4 | — | Dec 8, 2017 | A | 39,894 | A | — | — | Common Stock | 39,894 | 39,894 | D |
Explanation of responses
- F1These employee stock options were granted on December 8, 2017, and will become fully vested on December 8, 2020.
- F2These stock options vest as follows: 50% on the first anniversary of the grant date, 25% on the second anniversary of the grant date and 25% on the third anniversary of the grant date.
- F3Each restricted stock unit represents a conditional right to receive one share of the Company's Common Stock.
- F4The restricted stock units vest on December 8, 2020 or as subject to the terms of the award agreement.