|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to purchase) | $ 12.86 | 03/03/2016 | A | 4,152 | (1) | 08/11/2025 | Common Stock | 4,152 | $ 0 | 4,152 (1) | D | ||||
Stock Option (right to purchase) | $ 16.13 | 03/03/2016 | A | 9,920 | (2) | 11/10/2025 | Common Stock | 9,920 | $ 0 | 9,920 (2) | D | ||||
Stock Option (right to purchase) | $ 12.01 | 03/03/2016 | A | 6,250 | (3) | 03/04/2026 | Common Stock | 6,250 | $ 0 | 6,250 (3) | D | ||||
Stock Option (right to purchase) | $ 12.01 | 03/03/2016 | A | 12,500 | (4) | 03/04/2026 | Common Stock | 12,500 | $ 0 | 12,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SULLIVAN THOMAS D 3000 JOHN DEERE ROAD TOANO, VA 23168 |
X | Founder |
/s/ E. Livingston B. Haskell, Power-of-Attorney | 03/07/2016 | |
**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) | On August 10, 2015, Mr. Sullivan was granted a stock option to purchase 8,305 shares of common stock, subject to performance conditions for the fiscal year ended December 31, 2015. The performance conditions were met for one-half of stock option, which vests at the rate of 33% per year over three years beginning August 10, 2016 if Mr. Sullivan is employed by Lumber Liquidators Holdings, Inc. (or any related company) or serves on its Board of Directors on such anniversary, as more fully set forth in Form of Performance Option Award Agreement filed as Exhibit 10.2 in Issuer's current report on Form 8-K filed August 5, 2015. |
(2) | On November 9, 2015, Mr. Sullivan was granted a stock option to purchase 19,841 shares of common stock, subject to performance conditions for the fiscal year ended December 31, 2015. The performance conditions were met for one-half of stock option, which vests at the rate of 33% per year over three years beginning November 9, 2016 if Mr. Sullivan is employed by Lumber Liquidators Holdings, Inc. (or any related company) or serves on its Board of Directors on such anniversary, as more fully set forth in Form of Performance Option Award Agreement filed as Exhibit 10.31 in Issuer's annual report on Form 10-K filed February 29, 2016. |
(3) | On March 3, 2016, Mr. Sullivan was granted a stock option to purchase 12,500 shares of common stock, subject to performance conditions for the fiscal year ended December 31, 2015. The performance conditions were met for one-half of stock option, which vests at the rate of 33% per year over three years beginning March 3, 2017 if Mr. Sullivan is employed by Lumber Liquidators Holdings, Inc. (or any related company) or serves on its Board of Directors on such anniversary, as more fully set forth in Form of Performance Option Award Agreement filed as Exhibit 10.31 in Issuer's annual report on Form 10-K filed February 29, 2016. |
(4) | Stock option vests at the rate of 33% per year over three years beginning March 3, 2017 if Mr. Sullivan is employed by Lumber Liquidators Holdings, Inc. (or any related company) or serves on its Board of Directors on such anniversary, as more fully set forth in Form of Service Option Award Agreement filed as Exhibit 10.29 in Issuer's annual report on Form 10-K filed February 29, 2016. |