SEC Form 4 · accession 0001140361-18-035255
MARCUS CORP · MCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Rolando B Rodriguez
Officer — Pres. & CEO - Marcus Theatres
Period of report
Jul 31, 2018
Accepted (ET)
Aug 2, 2018 · 7:05 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 StockF1 | Jul 31, 2018 | S | 4,125 | $38.6208 | D | 32,850 | D | |
| Common StockF2 | Jul 31, 2018 | M | 2,000 | $13.04 | A | 32,850 | D | |
| Common StockF2 | holding | — | — | — | 10,791 | I | By Rodriguez Family Trust | |
| Common StockF3 | holding | — | — | — | 588 | 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 7/30/13)F4 | $13.04 | Jul 31, 2018 | M | 2,000 | D | — | Jul 30, 2023 | Common Stock | 2,000 | 0 | D |
| Stock Option (right to buy) (granted 7/29/14)F4 | $18.34 | holding | — | — | — | — | Jul 29, 2024 | Common Stock | 10,370 | 10,370 | D |
| Stock Option (right to buy) (granted 7/28/15)F4 | $20.26 | holding | — | — | — | — | Jul 28, 2025 | Common Stock | 19,611 | 19,611 | D |
| Stock Option (right to buy) (granted 3/1/16)F4 | $18.68 | holding | — | — | — | — | Mar 1, 2026 | Common Stock | 12,500 | 12,500 | D |
| Stock Option (right to buy) (granted 2/28/17)F4 | $31.20 | holding | — | — | — | — | Feb 28, 2027 | Common Stock | 20,000 | 20,000 | D |
| Stock Option (right to buy) (granted 2/27/18)F4 | $27.00 | holding | — | — | — | — | Feb 27, 2028 | Common Stock | 34,000 | 34,000 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $38.60 to $38.70. 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.
- F2Shares previously held directly by the reporting person were transferred into the Rodriguez Living Trust in a transaction exempt from Section 16 reporting pursuant to Rule 16a-13.
- F3Balance reflects the most current data available with regard to the reporting person's holdings in the 401(k) Plan.
- F4The options 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.