SEC Form 4 · accession 0001179110-18-007911
Boot Barn Holdings, Inc. · BOOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Grant Conroy
Officer — Chief Executive Officer · Director
Period of report
May 31, 2018
Accepted (ET)
Jun 4, 2018 · 4:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001610250
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 31, 2018 | M | 597 | $5.47 | A | 41,892 | D | |
| Common StockF2 | May 31, 2018 | S | 597 | $23.9658 | D | 41,295 | D | |
| Common Stock | May 31, 2018 | M | 28,569 | $7.11 | A | 69,864 | D | |
| Common StockF2 | May 31, 2018 | S | 28,569 | $23.8713 | D | 41,295 | D | |
| Common Stock | May 31, 2018 | M | 3,080 | $7.47 | A | 44,375 | D | |
| Common StockF2 | May 31, 2018 | S | 3,080 | $23.8764 | D | 41,295 | D | |
| Common Stock | May 31, 2018 | M | 119,580 | $9.21 | A | 160,875 | D | |
| Common StockF3 | May 31, 2018 | S | 119,580 | $23.87 | D | 41,295 | D | |
| Common Stock | May 31, 2018 | M | 119,580 | $9.21 | A | 160,875 | D | |
| Common StockF4 | May 31, 2018 | S | 119,580 | $23.8701 | D | 41,295 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF5 | $5.47 | May 31, 2018 | M | 597 | D | — | Dec 20, 2022 | Common Stock | 597 | 0 | D |
| OptionsF6 | $7.11 | May 31, 2018 | M | 28,569 | D | — | May 20, 2024 | Common Stock | 28,569 | 28,568 | D |
| OptionsF5 | $7.47 | May 31, 2018 | M | 3,080 | D | — | Dec 20, 2022 | Common Stock | 3,080 | 0 | D |
| OptionsF5 | $9.21 | May 31, 2018 | M | 239,160 | D | — | Dec 20, 2022 | Common Stock | 239,160 | 0 | D |
Explanation of responses
- F1All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2Reflects the weighted average price of sales on May 31, 2018. The shares were sold in multiple transactions at prices ranging from $23.55 to $24.55, inclusive. The reporting person undertakes to provide to Boot Barn Holdings, Inc., any security holder of Boot Barn Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
- F3Reflects the weighted average price of sales on May 31, 2018. The shares were sold in multiple transactions at prices ranging from $23.53 to $24.55, inclusive. The reporting person undertakes to provide to Boot Barn Holdings, Inc., any security holder of Boot Barn Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
- F4Reflects the weighted average price of sales on May 31, 2018. The shares were sold in multiple transactions at prices ranging from $23.52 to $24.55, inclusive. The reporting person undertakes to provide to Boot Barn Holdings, Inc., any security holder of Boot Barn Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
- F5The options were granted under the Company's 2011 Equity Incentive Plan and are fully vested and currently exercisable.
- F6The options were granted under the Company's 2014 Equity Incentive Plan and are fully vested and currently exercisable.