SEC Form 4 · accession 0001140361-17-009209
MARCUS CORP · MCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory S Marcus
Officer — President and CEO
Period of report
Feb 22, 2017
Accepted (ET)
Feb 24, 2017 · 5:18 pm EST
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 StockF1 | Feb 22, 2017 | A | 8,000 | $0.00 | A | 106,809 | D | |
| Common StockF2 | holding | — | — | — | 75 | I | As custodian | |
| Common StockF3 | holding | — | — | — | 7,170 | 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)F4 | $20.40 | holding | — | — | — | — | Aug 2, 2017 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (right to buy) (granted 7/29/08)F4 | $15.59 | holding | — | — | — | — | Jul 29, 2018 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (right to buy) (granted 7/28/09)F4 | $13.34 | holding | — | — | — | — | Jul 28, 2019 | Common Stock | 55,000 | 55,000 | D |
| Stock Option (right to buy) (granted 7/27/10)F4 | $11.89 | holding | — | — | — | — | Jul 27, 2020 | Common Stock | 60,000 | 60,000 | D |
| Stock Option (right to buy) (granted 7/26/11)F4 | $10.00 | holding | — | — | — | — | Jul 26, 2021 | Common Stock | 60,000 | 60,000 | D |
| Stock Option (right to buy) (granted 7/31/12)F4 | $13.12 | holding | — | — | — | — | Jul 31, 2022 | Common Stock | 52,000 | 52,000 | D |
| Stock Option (right to buy) (granted 7/30/13)F4 | $13.04 | holding | — | — | — | — | Jul 30, 2023 | Common Stock | 57,500 | 57,500 | D |
| Stock Option (right to buy) (granted 7/29/14)F4 | $18.34 | holding | — | — | — | — | Jul 29, 2024 | Common Stock | 49,500 | 49,500 | D |
| Stock Option (right to buy) (granted 7/28/15)F4 | $20.26 | holding | — | — | — | — | Jul 28, 2025 | Common Stock | 44,100 | 44,100 | D |
| Stock Option (right to buy) (granted 3/1/16)F4 | $18.68 | holding | — | — | — | — | Mar 1, 2026 | Common Stock | 28,500 | 28,500 | D |
| Class B Common StockF5,F6,F7 | — | holding | — | — | — | — | — | Common Stock | 191,056 | 191,056 | D |
| Class B Common StockF8,F5,F6,F7 | — | holding | — | — | — | — | — | Common Stock | 10,786 | 10,786 | I |
| Class B Common StockF9,F5,F6,F7 | — | holding | — | — | — | — | — | Common Stock | 8,388 | 8,388 | I |
| Class B Common StockF5,F6,F7 | — | holding | — | — | — | — | — | Common Stock | 18,233 | 18,233 | I |
Explanation of responses
- F1Restricted stock granted February 22, 2017 vests and becomes exercisable as follows: 50% after 3rd anniversary of the date of grant and 100% after 5th anniversary of the date of grant or upon death, disability or retirement.
- F2As sole custodian of the Alexandra Marcus U/WI/UTMA.
- F3Balance reflects the most current data available with regard to the reporting person's holdings in the 401(k) Plan.
- F4The 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.
- F5This security is convertible into common stock on a 1-for-1 basis at no cost.
- F6This security is immediately exercisable.
- F7No expiration date.
- F8As sole custodian of the Alexandra Marcus U/WI/UTMA, the Michael Marcus U/WI/UTMA, and the Samantha Marcus U/WI/UTMA.
- F9As trustee of the Gabriella Marcus Trust, the Daniella Marcus Trust and the Jessica Marcus Trust.