SEC Form 4 · accession 0001127602-15-002905
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
Jan 23, 2015
Accepted (ET)
Jan 27, 2015 · 2:24 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2 | — | Jan 23, 2015 | A | 7,500 | A | — | — | Common Stock | 7,500 | 7,500 | D |
| Employee Stock Option (Right to Buy)F3,F4 | $4.49 | Jan 23, 2015 | A | 109,290 | A | Jan 23, 2018 | Jan 23, 2025 | Common Stock | 109,290 | 109,290 | D |
Explanation of responses
- F1Each restricted stock unit represents a conditional right to receive one share of the Company's Common Stock.
- F2The restricted stock units vest on January 23, 2018 or as subject to the terms of the award agreement.
- F3These employee stock options were granted on January 23, 2015 and will become fully vested on January 23, 2018.
- F4These 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.