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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kelley Barry 500 WESTRIDGE DRIVE WATSONVILLE, CA 95076 |
EVP - Stores & Wholesale |
/s/ Pamela Fields, attorney-in-fact | 03/04/2015 | |
**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) | This award of restricted stock units vests in three annual installments of 33%, 33% and 34% on March 2, 2016, 2017 and 2018, respectively. |
(2) | This award of restricted stock units was issued pursuant to the terms of the West Marine, Inc. Omnibus Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of common stock upon vesting. |
(3) | Restricted stock units outstanding following the vesting of units representing 3,630 shares of common stock on March 3, 2015. |
(4) | Includes 1,030 shares received in October 2014 under the Associate Stock Purchase Plan and 3,630 shares received upon vesting of restricted stock unit awards on March 3, 2015. |
(5) | The Issuer did not withhold and sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes. |
(6) | Does not include 9,833 unvested stock options and 41,000 exercisable stock options. |