SEC Form 4 · accession 0001140361-16-081219
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
Sep 28, 2016
Accepted (ET)
Sep 30, 2016 · 2:58 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 | Sep 28, 2016 | M | 5,031 | $20.40 | A | 56,033 | D | |
| Common Stock | Sep 28, 2016 | M | 6,488 | $15.59 | A | 62,521 | D | |
| Common Stock | Sep 28, 2016 | M | 6,821 | $13.34 | A | 69,342 | D | |
| Common Stock | Sep 28, 2016 | F | 11,672 | $25.26 | D | 57,670 | D | |
| Common StockF1 | holding | — | — | — | 7,425 | 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 8/2/07)F2 | $20.40 | Sep 28, 2016 | M | 5,031 | D | — | Aug 2, 2017 | Common Stock | 5,031 | 9,969 | D |
| Stock Option (right to buy) (granted 7/29/08)F2 | $15.59 | Sep 28, 2016 | M | 6,488 | D | — | Jul 29, 2018 | Common Stock | 6,488 | 13,512 | D |
| Stock Option (right to buy) (granted 7/28/09)F2 | $13.34 | Sep 28, 2016 | M | 6,821 | D | — | Jul 28, 2019 | Common Stock | 6,821 | 13,179 | D |
| Stock Option (right to buy) (granted 7/27/10)F2 | $11.89 | holding | — | — | — | — | Jul 27, 2020 | Common Stock | 22,500 | 22,500 | D |
| Stock Option (right to buy) (granted 7/26/11)F2 | $10.00 | holding | — | — | — | — | Jul 26, 2021 | Common Stock | 22,500 | 22,500 | D |
| Stock Option (right to buy) (granted 7/31/12)F2 | $13.12 | holding | — | — | — | — | Jul 31, 2022 | Common Stock | 19,500 | 19,500 | D |
| Stock Option (right to buy) (granted 7/30/13)F2 | $13.04 | holding | — | — | — | — | Jul 30, 2023 | Common Stock | 21,000 | 21,000 | D |
| Stock Option (right to buy) (granted 7/29/14)F2 | $18.34 | holding | — | — | — | — | Jul 29, 2024 | Common Stock | 16,400 | 16,400 | D |
| Stock Option (right to buy) (granted 7/28/15)F2 | $20.26 | holding | — | — | — | — | Jul 28, 2025 | Common Stock | 17,400 | 17,400 | D |
| Stock Option (right to buy) (granted 3/1/16)F2 | $18.68 | holding | — | — | — | — | Mar 1, 2026 | Common Stock | 11,150 | 11,150 | D |
Explanation of responses
- F1Balance reflects the most current data available with regard to the reporting person's holdings in the 401(k) Plan.
- F2The 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.