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Filing Details

Accession Number:: 0000899243-21-010472
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-03-08 20:41:43
Reporting Period:: 2021-03-04

Accepted Time:: 2021-03-08 20:41:43
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
1779740	Jr. J. Eric Lindberg	C/O Grocery Outlet Holding Corp. 5650 Hollis Street Emeryville CA 94608	Chief Executive Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2021-03-04	27,081	$0.00	52,217	No	4	A	Direct
Common Stock	Disposition	2021-03-04	4,257	$35.27	47,960	No	4	S	Direct
Common Stock	Acquisiton	2021-03-05	25,000	$3.81	72,960	No	4	M	Direct
Common Stock	Disposition	2021-03-05	23,399	$35.68	49,561	No	4	S	Direct
Common Stock	Disposition	2021-03-05	1,601	$36.09	47,960	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	S	Direct
No	4	M	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	2021-03-05	25,000	$0.00	25,000	$3.81

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
982,614		2024-10-21	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	2,126,670	Indirect	By Lindberg Revocable Trust
Common Stock	701,500	Indirect	By Lindberg Irrevocable Trust
Common Stock	460	Indirect	By child
Common Stock	460	Indirect	By spouse

Footnotes

Represents 27,081 restricted stock units ("RSUs") granted to the reporting person that will entitle the reporting person to receive one share of the Issuer's Common Stock per RSU. The RSUs will vest, and the underlying shares will be concurrently issued in a series of three equal installments upon the reporting person's completion of each 12 month period of service over the period measured from March 1, 2021 to March 1, 2024, subject to the continued service of the reporting person through such vesting dates. Does not include up to an additional 63,188 unvested performance stock units at target achievement (or up to an additional 126,376 unvested performance stock units at maximum achievement) which are eligible to vest upon the achievement of certain performance-based vesting conditions.
These shares were sold to satisfy the reporting person's tax withholding obligation upon vesting of RSUs previously granted.
This transaction was effected pursuant to a previously adopted Rule 10b5-1 trading plan.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.07 to $36.05, 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 $36.07 to $36.13, inclusive. The reporting person undertakes to provide to Grocery Outlet Holding Corp., any security holder of the Issuer or the staff of the Securities and Exchange 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.
Reflects shares directly held by The Lindberg Family Revocable Trust u/a/d 2/14/2006 of which Mr. Lindberg is a Trustee.
Reflects shares directly held by The Lindberg Family Irrevocable Trust u/a/d 5/12/2017 of which Mr. Lindberg 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.