SEC Form 4 · accession 0001140361-18-035570
MARCUS CORP · MCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Diane M Gershowitz
Director
Period of report
Aug 2, 2018
Accepted (ET)
Aug 6, 2018 · 3:26 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,F3 | Aug 2, 2018 | S | 41,898 | $38.1736 | D | 10,224 | I | As Trustee |
| Common StockF2,F3 | Aug 3, 2018 | S | 10,224 | $37.6804 | D | 0 | I | As Trustee |
| Common Stock | holding | — | — | — | 8,735 | D | ||
| Common Stock | holding | — | — | — | 350 | I | By DG-LDJ Holdings, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF3,F4,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 131,506 | 131,506 | I |
| Class B Common StockF4,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 28,275 | 28,275 | D |
| Stock Option (Right to Buy)F7 | $10.78 | holding | — | — | — | May 28, 2009 | May 28, 2019 | Common Stock | 500 | 500 | D |
| Stock Option (Right to Buy)F7 | $11.14 | holding | — | — | — | May 27, 2010 | May 27, 2020 | Common Stock | 500 | 500 | D |
| Stock Option (Right to Buy)F7 | $10.50 | holding | — | — | — | May 26, 2011 | May 26, 2021 | Common Stock | 500 | 500 | D |
| Stock Option (Right to Buy)F7 | $13.33 | holding | — | — | — | May 31, 2012 | May 31, 2022 | Common Stock | 500 | 500 | D |
| Stock Option (Right to Buy)F7 | $13.45 | holding | — | — | — | May 30, 2013 | May 30, 2023 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (Right to Buy)F7 | $16.84 | holding | — | — | — | May 29, 2014 | May 29, 2024 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (Right to Buy)F7 | $19.65 | holding | — | — | — | May 28, 2015 | May 28, 2025 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (Right to Buy)F7 | $18.97 | holding | — | — | — | Dec 31, 2015 | Dec 31, 2025 | Common Stock | 583 | 583 | D |
| Stock Option (Right to Buy)F7 | $31.55 | holding | — | — | — | Dec 29, 2016 | Dec 29, 2026 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (Right to Buy)F7 | $27.20 | holding | — | — | — | Dec 28, 2017 | Dec 28, 2027 | Common Stock | 1,000 | 1,000 | D |
| Class B Common StockF4,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 2,832,148 | 2,832,148 | I |
| Class B Common StockF8,F4,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 50,845 | 50,845 | I |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $38.00 to $38.40. 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.
- F2The price in Column 4 is a weighted average price. The prices actually received ranged from $37.40 to $38.10. 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.
- F3As trustee for brother's children.
- F4This security is convertible into common stock on a 1-for-1 basis at no cost.
- F5This security is immediately exercisable.
- F6No expiration date.
- F7Granted pursuant to The Marcus Corporation 2004 Equity and Incentive Awards Plan.
- F8By the Ben and Celia Marcus 1992 Revocable Trust F/B/O Diane M. Gershowitz.