SEC Form 4/A · accession 0001104659-16-146305
TUESDAY MORNING CORP/DE · TUES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Phillip D. Hixon
Officer — EVP, Store Operations
Period of report
Sep 1, 2016
Accepted (ET)
Sep 23, 2016 · 4:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000878726
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 1, 2016 | A | 15,648 | $0.00 | A | 28,079 | D | |
| Common StockF2 | Sep 1, 2016 | A | 26,826 | $0.00 | A | 54,905 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $6.71 | Sep 1, 2016 | A | 37,528 | A | — | Sep 1, 2026 | Common Stock | 37,528 | 37,528 | D |
Explanation of responses
- F1The 15,648 shares represent shares of time-vesting restricted stock granted pursuant to the Company's 2014 Long-Term Incentive Plan and vest in equal installments on September 1, 2017, September 1, 2018, September 1, 2019 and September 1, 2020.
- F2The 26,826 shares represent shares of performance-based restricted stock granted pursuant to the Company's 2014 Long-Term Incentive Plan. Subject to satisfaction of certain performance criteria, the restricted stock will vest on September 1, 2019. This amendment is filed to correct an inadvertent error in the number of shares of restricted stock granted.
- F3The options were granted pursuant to the Company's 2014 Long-Term Incentive Plan and vest in equal installments on September 1, 2017, September 1, 2018, September 1, 2019 and September 1, 2020.