SEC Form 4 · accession 0001140361-17-047849
MARCUS CORP · MCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip L Milstein
Director
Period of report
Dec 28, 2017
Accepted (ET)
Dec 29, 2017 · 6:57 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 | Dec 21, 2017 | G | 14,270 | $0.00 | D | 53,007 | D | |
| Common Stock | Dec 27, 2017 | G | 10,000 | $0.00 | D | 43,007 | D | |
| Common StockF2 | Dec 28, 2017 | A | 1,500 | $0.00 | A | 44,507 | D | |
| Common StockF3 | Dec 21, 2017 | G | 5,625 | $0.00 | D | 0 | I | As trustee for A. B. Elbaum |
| Common StockF1,F3 | holding | — | — | — | 45,244 | I | As trustee for PLM Foundation | |
| Common StockF3 | holding | — | — | — | 124,111 | I | As co-trustee for SVM Foundation | |
| Common StockF3 | holding | — | — | — | 8,100 | I | By children | |
| Common StockF3 | holding | — | — | — | 2,000 | I | By spouse |
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)F4 | $27.20 | Dec 28, 2017 | A | 1,000 | A | Dec 28, 2017 | Dec 28, 2027 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (Right to Buy)F4 | $17.17 | holding | — | — | — | May 29, 2008 | May 29, 2018 | Common Stock | 500 | 500 | D |
| Stock Option (Right to Buy)F4 | $10.78 | holding | — | — | — | May 28, 2009 | May 28, 2019 | Common Stock | 500 | 500 | D |
| Stock Option (Right to Buy)F4 | $11.14 | holding | — | — | — | May 27, 2010 | May 27, 2020 | Common Stock | 500 | 500 | D |
| Stock Option (Right to Buy)F4 | $10.50 | holding | — | — | — | May 26, 2011 | May 26, 2021 | Common Stock | 500 | 500 | D |
| Stock Option (Right to Buy)F4 | $13.33 | holding | — | — | — | May 31, 2012 | May 31, 2022 | Common Stock | 500 | 500 | D |
| Stock Option (Right to Buy)F4 | $13.45 | holding | — | — | — | May 30, 2013 | May 30, 2023 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (Right to Buy)F4 | $16.84 | holding | — | — | — | May 29, 2014 | May 29, 2024 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (Right to Buy)F4 | $19.65 | holding | — | — | — | May 28, 2015 | May 28, 2025 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (Right to Buy)F4 | $18.97 | holding | — | — | — | Dec 31, 2015 | Dec 31, 2025 | Common Stock | 583 | 583 | D |
| Stock Option (Right to Buy)F4 | $31.55 | holding | — | — | — | Dec 29, 2016 | Dec 29, 2026 | Common Stock | 1,000 | 1,000 | D |
Explanation of responses
- F142,744 shares previously held by the reporting person directly were transferred into the PLM Foundation in a transaction exempt from Section 16 reporting pursuant to Rule 16a-13.
- F2Restricted stock granted December 28, 2017 vests and becomes exercisable as follows: 50% after 3rd anniversary of the date of the grant and 100% after 5th anniversary of the date of the grant or upon death, disability or retirement.
- F3The undersigned disclaims any beneficial interest in shares owned by his wife, children, held by him as trustee for Ms. Abby Black Elbaum, held by him as trustee for PLM Foundation, or held by him as co-trustee for SVM Foundation.
- F4Granted pursuant to The Marcus Corporation 2004 Equity and Incentive Awards Plan.