SEC Form 4 · accession 0001127602-15-029404
LUBYS INC · LUB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harris J Pappas
Director · 10% Owner
Period of report
Oct 19, 2015
Accepted (ET)
Oct 21, 2015 · 3:36 pm EDT
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)F3 | $5.27 | Oct 19, 2015 | J | 63,000 | D | Dec 9, 2012 | Dec 9, 2018 | Common Stock | 63,000 | 0 | D |
| Employee Stock Option (Right to Buy)F3 | $5.39 | Oct 19, 2015 | J | 17,551 | D | Nov 18, 2014 | Nov 18, 2020 | Common Stock | 17,551 | 0 | D |
Explanation of responses
- F1On October 19, 2015, Mr. Pappas agreed to surrender 63,000 options to purchase the Company's common stock with an exercise price of $5.27 per share (FMV on date of grant) back to the Company. Mr. Pappas received no consideration from the Company for the surrender.
- F2On October 19, 2015, Mr. Pappas agreed to surrender 17,551 options to purchase the Company's common stock with an exercise price of $5.39 per share (FMV on date of grant) back to the Company. Mr. Pappas received no consideration from the Company for the surrender.
- F3Exercise price of option to buy.