Filing Details
- Accession Number:
- 0000899243-20-003269
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-02-05 16:31:30
- Reporting Period:
- 2020-02-03
- Accepted Time:
- 2020-02-05 16:31:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1771515 | Grocery Outlet Holding Corp. | GO | Retail-Grocery Stores (5411) | 471874201 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1779772 | B. Pamela Burke | C/O Grocery Outlet Holding Corp. 5650 Hollis Street Emeryville CA 94608 | Cao, Gc & Secretary | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-02-03 | 26,470 | $8.11 | 26,470 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-02-03 | 26,470 | $31.85 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (Right to Buy) | Disposition | 2020-02-03 | 26,470 | $0.00 | 26,470 | $8.11 |
| Common Stock | Stock Options (Right to Buy) | Acquisiton | 2020-02-03 | 64,015 | $0.00 | 64,015 | $4.79 |
| Common Stock | Stock Options (Right to Buy) | Acquisiton | 2020-02-03 | 24,808 | $0.00 | 24,808 | $6.48 |
| Common Stock | Stock Options (Right to Buy) | Acquisiton | 2020-02-03 | 34,731 | $0.00 | 34,731 | $11.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 37,567 | 2025-09-29 | No | 4 | M | Direct | |
| 64,015 | 2025-09-29 | No | 4 | A | Direct | |
| 24,808 | 2027-03-31 | No | 4 | A | Direct | |
| 34,731 | 2028-12-26 | No | 4 | A | Direct |
Footnotes
- This amount represents the $33.00 secondary public offering price per share of the Common Stock of the Issuer less the underwriting discount of $1.155 per share.
- Represents the remaining 37,567 stock options from an initial grant of 90,507 stock options granted on September 29, 2015 which vest in five equal installments on each of the first five anniversaries of the grant date.
- Represents previously granted stock options which were deemed earned and acquired upon the satisfaction of certain performance vesting criteria in connection with the secondary public offering. These stock options are vested and exercisable. Does not include an additional 26,492 stock options which remain eligible to vest upon the achievement of certain performance-based vesting conditions.
- Represents previously granted stock options which were deemed earned and acquired upon the satisfaction of certain performance vesting criteria in connection with the secondary public offering. These stock options are vested and exercisable. Does not include an additional 10,267 stock options which remain eligible to vest upon the achievement of certain performance-based vesting conditions.
- Represents previously granted stock options which were deemed earned and acquired upon the satisfaction of certain performance vesting criteria in connection with the secondary public offering. These stock options are vested and exercisable. Does not include an additional 14,374 stock options which remain eligible to vest upon the achievement of certain performance-based vesting conditions.
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