Filing Details
- Accession Number:
- 0000899243-21-010480
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-08 20:47:34
- Reporting Period:
- 2021-03-04
- Accepted Time:
- 2021-03-08 20:47:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1779980 | K. Steven Wilson | C/O Grocery Outlet Holding Corp. 5650 Hollis Street Emeryville CA 94608 | Svp, Chief Purchasing Officer | 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 | 2021-03-04 | 11,284 | $0.00 | 145,470 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2021-03-04 | 1,210 | $35.27 | 144,260 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-03-05 | 40,000 | $3.81 | 184,260 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-05 | 40,000 | $35.95 | 144,260 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| 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 | 2021-03-05 | 40,000 | $0.00 | 40,000 | $3.81 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 66,352 | 2024-11-25 | No | 4 | M | Direct |
Footnotes
- Represents 11,284 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 16,926 unvested performance stock units at target achievement (or up to an additional 33,851 unvested performance stock units at maximum achievement) which are eligible to vest upon the achievement of certain performance-based vesting conditions.
- Total reported reflects correction of scrivener's error in the reporting person's Form 4 filed on November 3, 2020.
- 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 $35.90 to $36.13, 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, 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.
- 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.
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