SEC Form 4 · accession 0001140361-15-013258
MARCUS CORP · MCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas A Neis
Officer — CFO and Treasurer
Period of report
Mar 24, 2015
Accepted (ET)
Mar 26, 2015 · 4:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000062234
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 24, 2015 | M | 14,258 | $14.0694 | A | 63,060 | D | |
| Common Stock | Mar 24, 2015 | F | 10,387 | $20.87 | D | 52,673 | D | |
| Common StockF1 | Mar 24, 2015 | S | 4,000 | $20.813 | D | 48,673 | D | |
| Common StockF2 | holding | — | — | — | 7,071 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) (granted 10/6/05)F3 | $14.0694 | Mar 24, 2015 | M | 14,258 | D | — | Oct 6, 2015 | Common Stock | 14,258 | 0 | D |
| Stock Option (right to buy) (granted 7/31/06)F3 | $19.74 | holding | — | — | — | — | Jul 31, 2016 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (right to buy) (granted 8/2/07)F3 | $20.40 | holding | — | — | — | — | Aug 2, 2017 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (right to buy) (granted 7/29/08)F3 | $15.59 | holding | — | — | — | — | Jul 29, 2018 | Common Stock | 20,000 | 20,000 | D |
| Stock Option (right to buy) (granted 7/28/09)F3 | $13.34 | holding | — | — | — | — | Jul 28, 2019 | Common Stock | 20,000 | 20,000 | D |
| Stock Option (right to buy) (granted 7/27/10)F3 | $11.89 | holding | — | — | — | — | Jul 27, 2020 | Common Stock | 22,500 | 22,500 | D |
| Stock Option (right to buy) (granted 7/26/11)F3 | $10.00 | holding | — | — | — | — | Jul 26, 2021 | Common Stock | 22,500 | 22,500 | D |
| Stock Option (right to buy) (granted 7/31/12)F3 | $13.12 | holding | — | — | — | — | Jul 31, 2022 | Common Stock | 19,500 | 19,500 | D |
| Stock Option (right to buy) (granted 7/30/13)F3 | $13.04 | holding | — | — | — | — | Jul 30, 2023 | Common Stock | 21,000 | 21,000 | D |
| Stock Option (right to buy) (granted 7/29/14)F3 | $18.34 | holding | — | — | — | — | Jul 29, 2024 | Common Stock | 16,400 | 16,400 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $20.79 to $20.89. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- F2Balance reflects the most current data available with regard to the reporting person's holdings in the 401(k) Plan.
- F3The options originally granted vest and become exercisable as follows: 40% after 2nd anniversary of the date of grant; 60% after 3rd anniversary; 80% after 4th anniversary; and 100% after 5 years.