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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 | ||||||||
Restricted Stock Units | (2) | 09/30/2018 | M | 5,468 | (3) | (3) | Common Stock | 5,468 | $ 0 | 0 | D | ||||
Restricted Stock Units | (2) | 09/30/2018 | M | 11,695 | (4) | (4) | Common Stock | 11,695 | $ 0 | 11,699 | D | ||||
Restricted Stock Units | (2) | 09/30/2018 | M | 9,794 | (5) | (5) | Common Stock | 9,794 | $ 0 | 19,618 | D | ||||
Performance Based Restricted Stock Units | (2) | 09/30/2018 | M | 12,000 | (6) | (6) | Common Stock | 12,000 | $ 0 | 0 | D | ||||
Performance Based Restricted Stock Units | (2) | 09/30/2018 | M | 42,925 | (7) | (7) | Common Stock | 42,925 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCGILL WILLIAM H JR 2600 MCCORMICK DRIVE SUITE 200 CLEARWATER, FL 33759 |
X | Executive Chairman |
Anthony E. Cassella, Jr., Attorney-in-Fact for William H. McGill, Jr. | 10/02/2018 | |
**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) | Includes 1,497 shares acquired under the MarineMax Employee Stock Purchase Plan on various dates during Q3 of fiscal 2018. |
(2) | Each restricted stock unit represents a contingent right to receive one share of Marinemax, Inc. Common Stock. |
(3) | The restricted stock units vested in three annual installments beginning on September 30, 2016. |
(4) | The restricted stock units vested in three annual installments beginning on September 30, 2017. |
(5) | The restricted stock units vested in three annual installments beginning on September 30, 2018. |
(6) | The performance-based restricted stock units vest on September 30, 2018. These units were awarded based on performance criteria established on November 15, 2014 and tied to inventory management and operations during fiscal 2017. |
(7) | The performance-based restricted stock units vest on September 30, 2018. These units were awarded based on performance criteria established on November 12, 2015 and tied to inventory management and operations during fiscal 2016. |