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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 | ||||||||
Stock Options (Right to Buy) | $ 2.44 | 01/03/2017 | M | 1,907 | (3) | 09/20/2023 | Common Stock | 1,907 | $ 0 | 0 | D | ||||
Stock Options (Right to Buy) | $ 2.44 | 01/03/2017 | M | 16,350 | (3) | 09/20/2023 | Common Stock | 16,350 | $ 0 | 16,350 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Peterson Stacy C/O WINGSTOP INC. 5501 LBJ FREEWAY, 5TH FLOOR DALLAS, TX 75240 |
Chief Information Officer |
/s/ Darryl R. Marsch, as attorney-in-fact | 01/05/2017 | |
**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) | The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 17, 2016, and to facilitate the exercise of an aggregate 18,257 options through cashless exercises which the reporting person holds and corresponding sale of 6,700 shares to satisfy tax obligations. |
(2) | The price reported in Column 4 is a weighted-average price. The shares were sold in multiple transactions at prices ranging from $29.30 to $29.72. |
(3) | The options are fully vested and exercisable. |
(4) | Consists of shares granted under the Wing Stop Holding Corporation 2010 Stock Option Plan, which will vest in equal installments on September 1, 2017 and September 1, 2018. Wing Stop Holding Corporation is the predecessor entity to Wingstop Inc. |