SEC Form 4 · accession 0001209191-17-002678
PERRY ELLIS INTERNATIONAL, INC · PERY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Luis S Paez
Officer — Chief Information Officer
Period of report
Jan 5, 2017
Accepted (ET)
Jan 6, 2017 · 5:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000900349
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 5, 2017 | M | 10,000 | $4.63 | A | 33,802 | D | |
| Common StockF1 | Jan 5, 2017 | S | 10,000 | $24.3369 | D | 23,802 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $4.63 | Jan 5, 2017 | M | 10,000 | D | Mar 18, 2010 | Mar 17, 2019 | Common Stock | 10,000 | 9,688 | D |
| Stock Appreciation Right | $18.19 | holding | — | — | — | Mar 19, 2013 | Mar 18, 2019 | Common Stock | 7,369 | 7,369 | D |
| Stock Appreciation Right | $28.38 | holding | — | — | — | Apr 11, 2012 | Apr 10, 2018 | Common Stock | 4,785 | 4,785 | D |
| Stock Appreciation Right | $24.93 | holding | — | — | — | Apr 19, 2011 | Apr 18, 2017 | Common Stock | 5,807 | 5,807 | D |
Explanation of responses
- F1Includes (i) 4,605 restricted shares granted under the 2015 Long-Term Incentive Compensation Plan (the "Plan"), successor to the Second Amended and Restated 2005 Long-Term Incentive Compensation Plan (the "2005 Plan"), which vest over three years beginning April 20, 2017; (ii) 9,206 performance shares granted under the Plan, which vest up to 100% if certain performance goals are met and the Reporting Person is employed by the Company on the last day of fiscal 2019 (and the Reporting Person may be entitled to additional performance shares if the Company exceeds the performance goals); (iii) 2,110 restricted shares granted under the 2005 Plan, which vest over two years beginning April 22, 2017; and (iv) 2,658 restricted shares granted under the 2005 Plan, which vest on April 28, 2017.