SEC Form 4 · accession 0001567619-18-002459
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
Sep 10, 2018
Accepted (ET)
Sep 12, 2018 · 5:02 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 | Sep 10, 2018 | M | 32,504 | $13.34 | A | 194,687 | D | |
| Common Stock | Sep 10, 2018 | M | 22,496 | $11.89 | A | 217,183 | D | |
| Common StockF1 | Sep 10, 2018 | S | 55,000 | $40.8806 | D | 162,183 | D | |
| Common Stock | Sep 11, 2018 | M | 14,093 | $11.89 | A | 176,276 | D | |
| Common StockF2 | Sep 11, 2018 | S | 14,093 | $41.0014 | D | 162,183 | D | |
| Common Stock | Sep 12, 2018 | M | 10,000 | $13.34 | A | 172,183 | D | |
| Common Stock | Sep 12, 2018 | M | 10,000 | $11.89 | A | 182,183 | D | |
| Common StockF3 | Sep 12, 2018 | S | 20,000 | $41.5597 | D | 162,183 | D | |
| Common StockF4 | holding | — | — | — | 75 | I | As custodian | |
| Common StockF5 | holding | — | — | — | 7,440 | 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 7/28/09)F6 | $13.34 | Sep 10, 2018 | M | 32,504 | D | — | Jul 28, 2019 | Common Stock | 55,000 | 22,496 | D |
| Stock Option (right to buy) (granted 7/28/09)F6 | $13.34 | Sep 12, 2018 | M | 10,000 | D | — | Jul 28, 2019 | Common Stock | 22,496 | 12,496 | D |
| Stock Option (right to buy) (granted 7/27/10)F6 | $11.89 | Sep 10, 2018 | M | 22,496 | D | — | Jul 27, 2020 | Common Stock | 60,000 | 37,504 | D |
| Stock Option (right to buy) (granted 7/27/10)F6 | $11.89 | Sep 11, 2018 | M | 14,093 | D | — | Jul 27, 2020 | Common Stock | 37,504 | 23,411 | D |
| Stock Option (right to buy) (granted 7/27/10)F6 | $11.89 | Sep 12, 2018 | M | 10,000 | D | — | Jul 27, 2020 | Common Stock | 23,411 | 13,411 | D |
| Stock Option (right to buy) (granted 7/26/11)F6 | $10.00 | holding | — | — | — | — | Jul 26, 2021 | Common Stock | 60,000 | 60,000 | D |
| Stock Option (right to buy) (granted 7/31/12)F6 | $13.12 | holding | — | — | — | — | Jul 31, 2022 | Common Stock | 52,000 | 52,000 | D |
| Stock Option (right to buy) (granted 7/30/13)F6 | $13.04 | holding | — | — | — | — | Jul 30, 2023 | Common Stock | 57,500 | 57,500 | D |
| Stock Option (right to buy) (granted 7/29/14)F6 | $18.34 | holding | — | — | — | — | Jul 29, 2024 | Common Stock | 49,500 | 49,500 | D |
| Stock Option (right to buy) (granted 7/28/15)F6 | $20.26 | holding | — | — | — | — | Jul 28, 2025 | Common Stock | 44,100 | 44,100 | D |
| Stock Option (right to buy) (granted 3/1/16)F6 | $18.68 | holding | — | — | — | — | Mar 1, 2026 | Common Stock | 28,500 | 28,500 | D |
| Stock Option (right to buy) (granted 2/28/17)F6 | $31.20 | holding | — | — | — | — | Feb 28, 2027 | Common Stock | 40,000 | 40,000 | D |
| Stock Option (right to buy) (granted 2/27/18)F6 | $27.00 | holding | — | — | — | — | Feb 27, 2028 | Common Stock | 75,000 | 75,000 | D |
| Class B Common StockF7,F8,F9 | — | holding | — | — | — | — | — | Common Stock | 191,056 | 191,056 | D |
| Class B Common StockF10,F7,F8,F9 | — | holding | — | — | — | — | — | Common Stock | 10,786 | 10,786 | I |
| Class B Common StockF11,F7,F8,F9 | — | holding | — | — | — | — | — | Common Stock | 8,388 | 8,388 | I |
| Class B Common StockF7,F8,F9 | — | 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 $40.75 to $41.275. 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.
- F10As sole custodian of the Alexandra Marcus U/WI/UTMA, the Michael Marcus U/WI/UTMA, and the Samantha Marcus U/WI/UTMA.
- F11As trustee of the Gabriella Marcus Trust, the Daniella Marcus Trust and the Jessica Marcus Trust.
- F2The price in Column 4 is a weighted average price. The prices actually received ranged from $41.00 to $41.05. 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.
- F3The price in Column 4 is a weighted average price. The prices actually received ranged from $41.30 to $41.80. 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.
- F4As sole custodian of the Alexandra Marcus U/WI/UTMA.
- F5Balance reflects the most current data available with regard to the reporting person's holdings in the 401(k) Plan.
- F6The 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.
- F7This security is convertible into common stock on a 1-for-1 basis at no cost.
- F8This security is immediately exercisable.
- F9No expiration date.