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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
NON QUALIFIED STOCK OPTION | $ 73.53 | 11/28/2016 | M | 1,297 | 11/25/2015(5) | 11/25/2021 | COMMON STOCK | 1,297 | $ 0 | 2,594 | D | ||||
NON QUALIFIED STOCK OPTION | $ 104.95 | 11/29/2016 | A | 5,589 | 11/29/2017(5) | 11/29/2023 | COMMON STOCK | 5,589 | $ 104.95 | 5,589 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GUILBAULT KEITH M 9330 BALBOA AVENUE SAN DIEGO, CA 92123 |
QDOBA BRAND PRESIDENT |
KEITH M GUILBAULT | 11/28/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents shares vested on 11/23/2016 and settled on 11/28/2016 for achievement of pre-established performance goals with respect to Performance Shares (as defined in Section 2.1 (aa) of our 2004 Stock Incentive Plan) granted for the three fiscal year performance period 2014-2016. |
(2) | Disposition of shares to satisfy tax withholding obligation upon vesting of Performance Shares on 11/23/2016. |
(3) | These securities are restricted stock units that vest in four equal installments commencing one year from the grant date, with after-tax net shares subject to a 50% holding requirement until separation of service from the Company. |
(4) | Disposition of shares to satisfy tax withholding obligation upon vesting of restricted stock units. |
(5) | These options become exercisable in three equal installments commencing one year after the date of grant. |