SEC Form 4 · accession 0000950103-16-016976
RUBY TUESDAY INC · RT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Linda Sue Briley
Officer — Chief Financial Officer
Period of report
Oct 5, 2016
Accepted (ET)
Oct 7, 2016 · 5:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000068270
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| $0.01 Par CommonF1 | Oct 5, 2016 | A | 13,416 | $0.00 | A | 27,787 | D |
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)F2 | $2.47 | Oct 5, 2016 | A | 37,963 | A | Jul 19, 2017 | Jul 19, 2023 | $0.01 Par Common | 37,963 | 37,963 | D |
| Restricted Stock UnitsF3 | — | Oct 5, 2016 | A | 65,789 | A | — | — | $0.01 Par Common | 65,789 | 65,789 | D |
Explanation of responses
- F1These restricted stock units were granted under the Issuer's Stock Incentive Plan (the "Plan") and are scheduled to vest in one-third increments on each of July 19, 2017, July 19, 2018 and July 19, 2019, subject to the terms of the Plan and applicable award agreement issued thereunder.
- F2The option was granted under the Plan and is scheduled to vest in one-third increments on each of July 19, 2017, July 19, 2018 and July 19, 2019.
- F3The restricted stock units were granted under the Plan and are scheduled to cliff vest on October 5, 2018, subject to the terms of the Plan and applicable award agreement issued thereunder. Each restricted stock unit is the economic equivalent of one share of the Issuer's common stock and may be settled solely in cash.