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Filing Details

Accession Number:: 0000899243-21-004704
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2021-02-03 17:00:55
Reporting Period:: 2021-01-27

Accepted Time:: 2021-02-03 17:00:55
Original Submission Date:: 2021-01-29
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
1779703	Jr. Macgregor S. Read	C/O Grocery Outlet Holding Corp. 5650 Hollis Street Emeryville CA 94608		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2021-01-27	50,000	$7.13	52,712	No	4	M	Direct
Common Stock	Disposition	2021-01-27	915	$42.18	51,797	No	4	S	Direct
Common Stock	Disposition	2021-01-27	2,700	$43.08	49,097	No	4	S	Direct
Common Stock	Disposition	2021-01-27	25,304	$44.12	23,793	No	4	S	Direct
Common Stock	Disposition	2021-01-27	8,510	$45.43	15,283	No	4	S	Direct
Common Stock	Disposition	2021-01-27	12,571	$46.03	2,712	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Options (Right to Buy)	Disposition	2021-01-27	50,000	$0.00	50,000	$7.13

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
250,000		2024-10-21	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	2,307,975	Indirect	By Trust
Common Stock	2,307,975	Indirect	By Trust

Footnotes

The sales reported in this Form 4 were effected pursuant to a previously adopted Rule 10b5-1 trading plan.
The original Form 4, filed on January 29, 2021, incorrectly reported that on January 27, 2021 the reporting person exercised 48,598 of the options reflected in Table II above and sold all of the shares received in respect of such options on such date. The original Form 4 is hereby amended to reflect that on January 27, 2021, the reporting person exercised 50,000 of the options reflected on Table II above and sold all of the shares received in respect of such options on such date as shown in Table I above. The price received by the reporting person in respect of such share sales in Column 4 of Table I has also been corrected.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.61 to $42.47, inclusive. The reporting person undertakes to provide to Grocery Outlet Holding Corp. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "Commission"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.69 to $43.54, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.82 to $44.78, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (5) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.85 to $45.84, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.85 to $46.28, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (7) to this Form 4.
Reflects shares directly held by the Nordlingen Trust dated 1/23/2012, as amended and restated 9/17/2014 of which Mr. Read is a Trustee.
Reflects shares directly held by the Redmond Trust dated 10/19/2003, as amended and restated 9/17/2014 of which Mr. Read is a Trustee.
Represents previously granted stock options which were deemed earned and acquired upon the satisfaction of certain performance vesting criteria. These stock options are vested and exercisable.