SEC Form 4 · accession 0001140361-18-034538

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

Jul 27, 2018

Accepted (ET)

Jul 31, 2018 · 4:12 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	Jul 27, 2018	M	100,000	$15.59	A	227,741	D
Common Stock	Jul 27, 2018	F	25,558	$36.60	D	202,183	D
Common Stock^F1	Jul 27, 2018	S	40,000	$36.5134	D	162,183	D
Common Stock^F2	holding	—	—		—	75	I	As custodian
Common Stock^F3	holding	—	—		—	7,446	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 7/29/08)^F4	$15.59	Jul 27, 2018	M	100,000	D	—	Jul 29, 2018	Common Stock	100,000	0	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
Stock Option (right to buy) (granted 2/28/17)^F4	$31.20	holding	—	—	—	—	Feb 28, 2027	Common Stock	40,000	40,000	D
Stock Option (right to buy) (granted 2/27/18)^F4	$27.00	holding	—	—	—	—	Feb 27, 2028	Common Stock	75,000	75,000	D
Class B Common Stock^F5,F6,F7	—	holding	—	—	—	—	—	Common Stock	191,056	191,056	D
Class B Common Stock^F8,F5,F6,F7	—	holding	—	—	—	—	—	Common Stock	10,786	10,786	I
Class B Common Stock^F9,F5,F6,F7	—	holding	—	—	—	—	—	Common Stock	8,388	8,388	I
Class B Common Stock^F5,F6,F7	—	holding	—	—	—	—	—	Common Stock	18,233	18,233	I

Explanation of responses

F1The price in Column 4 is a weighted average price. The prices actually received ranged from $36.40 to $36.90. 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.
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.