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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 | ||||||||
Options (Right to buy) | $ 15.39 | 11/14/2016 | M | 2,812 | 05/17/2008 | 05/16/2017 | Common Stock | 2,812 | $ 0 | 8,438 | D | ||||
Options (Right to buy) | $ 15.39 | 11/14/2016 | M | 2,813 | 05/17/2009 | 05/16/2017 | Common Stock | 2,813 | $ 0 | 5,625 | D | ||||
Options (Right to buy) | $ 15.39 | 11/14/2016 | M | 2,812 | 05/17/2010 | 05/16/2017 | Common Stock | 2,812 | $ 0 | 2,813 | D | ||||
Options (Right to buy) | $ 15.39 | 11/14/2016 | M | 2,813 | 05/17/2011 | 05/16/2017 | Common Stock | 2,813 | $ 0 | 0 | D | ||||
Options (Right to buy) | $ 18.05 | 11/14/2016 | M | 3,000 | 05/20/2010 | 05/19/2019 | Common Stock | 3,000 | $ 0 | 9,000 | D | ||||
Options (Right to buy) | $ 18.05 | 11/14/2016 | M | 3,000 | 05/20/2011 | 05/19/2019 | Common Stock | 3,000 | $ 0 | 6,000 | D | ||||
Options (Right to buy) | $ 18.05 | 11/14/2016 | M | 3,000 | 05/20/2012 | 05/19/2019 | Common Stock | 3,000 | $ 0 | 3,000 | D | ||||
Options (Right to buy) | $ 18.05 | 11/14/2016 | M | 3,000 | 05/20/2013 | 05/19/2019 | Common Stock | 3,000 | $ 0 | 0 | D | ||||
Options (Right to buy) | $ 39.03 | 11/14/2016 | M | 2,500 | 05/15/2013 | 05/14/2018 | Common Stock | 2,500 | $ 0 | 7,500 | D | ||||
Options (Right to buy) | $ 39.03 | 11/14/2016 | M | 2,500 | 05/15/2014 | 05/14/2018 | Common Stock | 2,500 | $ 0 | 5,000 | D | ||||
Options (Right to buy) | $ 39.03 | 11/14/2016 | M | 2,500 | 05/15/2015 | 05/14/2018 | Common Stock | 2,500 | $ 0 | 2,500 | D | ||||
Options (Right to buy) | $ 39.03 | 11/14/2016 | M | 2,500 | 05/15/2016 | 05/14/2018 | Common Stock | 2,500 | $ 0 | 0 | D | ||||
Options (Right to buy) | $ 33.64 | 11/14/2016 | M | 43,500 | 10/01/2013 | 09/30/2018 | Common Stock | 43,500 | $ 0 | 256,500 | D | ||||
Options (Right to buy) | $ 33.64 | 11/14/2016 | M | 43,500 | 10/01/2014 | 09/30/2018 | Common Stock | 43,500 | $ 0 | 213,000 | D | ||||
Options (Right to buy) | $ 33.64 | 11/14/2016 | M | 43,500 | 10/01/2015 | 09/30/2018 | Common Stock | 43,500 | $ 0 | 169,500 | D | ||||
Options (Right to buy) | $ 33.64 | 11/14/2016 | M | 43,500 | 10/01/2016 | 09/30/2018 | Common Stock | 43,500 | $ 0 | 126,000 | D | ||||
Options (Right to buy) | $ 33.64 | 11/15/2016 | M | 31,500 | 10/01/2013 | 09/30/2018 | Common Stock | 43,500 | $ 0 | 94,500 | D | ||||
Options (Right to buy) | $ 33.64 | 11/15/2016 | M | 31,500 | 10/01/2014 | 09/30/2018 | Common Stock | 43,500 | $ 0 | 63,000 | D | ||||
Options (Right to buy) | $ 33.64 | 11/15/2016 | M | 31,500 | 10/01/2015 | 09/30/2018 | Common Stock | 43,500 | $ 0 | 31,500 | D | ||||
Options (Right to buy) | $ 33.64 | 11/15/2016 | M | 31,500 | 10/01/2016 | 09/30/2018 | Common Stock | 43,500 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Van Heel John W 200 HOLLEDER PARKWAY ROCHESTER, NY 14615 |
X | Chief Executive Officer |
/s/ John W. Van Heel | 11/16/2016 | |
**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) | As permitted pursuant to the terms of the 1998 Employee Incentive Stock Option Plan and the 2007 Stock Option Plan, the reporting person utilized his ownership of existing shares in order to exercise options to purchase 333,250 non-qualified stock options, which option exercises are being reported on Tables I and II. The shares were valued at the closing price, respectively, for the Issuer's stock on November 14, 2016 and November 15, 2016, the dates on which the reporting person exercised the options. |
(2) | As permitted pursuant to the terms of the 1998 Employee Incentive Stock Option Plan and the 2007 Stock Option Plan, the reporting person satisfied any requisite taxes incurred as a result of the option exercises being reported on Tables I and II of this Form 4 by the Issuer withholding shares otherwise deliverable from the exercise of the options. |
(3) | The reporting person's holdings of Monro stock increased by 72,362 shares as a result of these transactions, which were completed for purposes of estate and tax planning. |