SEC Form 4 · accession 0001140361-17-030098
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
Aug 1, 2017
Accepted (ET)
Aug 3, 2017 · 5:54 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 | Aug 1, 2017 | M | 15,000 | $20.40 | A | 121,809 | D | |
| Common Stock | Aug 1, 2017 | F | 11,068 | $27.65 | D | 110,741 | D | |
| Common StockF1 | holding | — | — | — | 75 | I | As custodian | |
| Common StockF2 | holding | — | — | — | 7,353 | 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)F3 | $20.40 | Aug 1, 2017 | M | 15,000 | D | — | Aug 2, 2017 | Common Stock | 15,000 | 0 | D |
| Stock Option (right to buy) (granted 7/29/08)F3 | $15.59 | holding | — | — | — | — | Jul 29, 2018 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (right to buy) (granted 7/28/09)F3 | $13.34 | holding | — | — | — | — | Jul 28, 2019 | Common Stock | 55,000 | 55,000 | D |
| Stock Option (right to buy) (granted 7/27/10)F3 | $11.89 | holding | — | — | — | — | Jul 27, 2020 | Common Stock | 60,000 | 60,000 | D |
| Stock Option (right to buy) (granted 7/26/11)F3 | $10.00 | holding | — | — | — | — | Jul 26, 2021 | Common Stock | 60,000 | 60,000 | D |
| Stock Option (right to buy) (granted 7/31/12)F3 | $13.12 | holding | — | — | — | — | Jul 31, 2022 | Common Stock | 52,000 | 52,000 | D |
| Stock Option (right to buy) (granted 7/30/13)F3 | $13.04 | holding | — | — | — | — | Jul 30, 2023 | Common Stock | 57,500 | 57,500 | D |
| Stock Option (right to buy) (granted 7/29/14)F3 | $18.34 | holding | — | — | — | — | Jul 29, 2024 | Common Stock | 49,500 | 49,500 | D |
| Stock Option (right to buy) (granted 7/28/15)F3 | $20.26 | holding | — | — | — | — | Jul 28, 2025 | Common Stock | 44,100 | 44,100 | D |
| Stock Option (right to buy) (granted 3/1/16)F3 | $18.68 | holding | — | — | — | — | Mar 1, 2026 | Common Stock | 28,500 | 28,500 | D |
| Stock Option (right to buy) (granted 2/28/17)F3 | $31.20 | holding | — | — | — | — | Feb 28, 2027 | Common Stock | 40,000 | 40,000 | D |
| Class B Common StockF4,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 191,056 | 191,056 | D |
| Class B Common StockF7,F4,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 10,786 | 10,786 | I |
| Class B Common StockF8,F4,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 8,388 | 8,388 | I |
| Class B Common StockF4,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 18,233 | 18,233 | I |
Explanation of responses
- F1As sole custodian of the Alexandra Marcus U/WI/UTMA.
- 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.
- F4This security is convertible into common stock on a 1-for-1 basis at no cost.
- F5This security is immediately exercisable.
- F6No expiration date.
- F7As sole custodian of the Alexandra Marcus U/WI/UTMA, the Michael Marcus U/WI/UTMA, and the Samantha Marcus U/WI/UTMA.
- F8As trustee of the Gabriella Marcus Trust, the Daniella Marcus Trust and the Jessica Marcus Trust.