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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 Option (Right to Buy) | $ 23.8 | 02/10/2015 | A | 80,029 | (9) | 02/10/2025 | Class A Common Stock | 80,029 | $ 0 | 80,029 | D | ||||
Stock Option (Right to Buy) | $ 24.44 | 03/30/2015 | A | 41,781 | (10) | 03/30/2025 | Class A Common Stock | 41,781 | $ 0 | 41,781 | D | ||||
Performance-Based Restricted Stock | (11) | 03/30/2015 | A | 6,739 | (11) | 03/30/2018 | Class A Common Stock | 6,739 | $ 0 | 6,739 | D | ||||
Stock Option (Right to Buy) | $ 20.47 | 03/28/2016 | A | 54,790 | (12) | 03/28/2026 | Class A Common Stock | 54,790 | $ 0 | 54,790 | D | ||||
Performance-Based Restricted Stock | (13) | 03/28/2016 | A | 8,044 | (13) | 03/28/2019 | Class A Common Stock | 8,044 | $ 0 | 8,044 | D | ||||
Dividend Equivalent Rights | (14) | 06/15/2015(15) | A | 424 | (14) | (14) | Class A Common Stock | 452 | $ 0 | 452 | D | ||||
Performance-Based Restricted Stock | (16) | 03/27/2017 | A | 20,970 | (16) | 03/27/2020 | Class A Common Stock | 20,970 | $ 0 | 20,970 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jooma Imran 3308 N. MITTHOEFFER ROAD INDIANAPOLIS, IN 46235 |
EVP, Div Pres, Omni Strat |
/s/ Christopher C. Eck, as attorney-in-fact for Imran Jooma | 03/29/2017 | |
**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 reported shares of restricted stock vest on the following schedule: 5,765 (50%) on 2/9/2016; 2,883 (25%) on 3/1/2016; and 2,883 (25%) on 3/1/2017. |
(2) | All the reported shares of restricted stock cliff vest in full on 3/30/2018. |
(3) | Withheld for taxes upon the 2/9/2016 vesting of 5,765 shares of restricted stock from a grant on 2/10/2015. |
(4) | All the reported shares of restricted stock cliff vest in full on 2/28/2019. |
(5) | Withheld for taxes upon the 3/1/2016 vesting of 2,883 shares of restricted stock from a grant on 2/10/2015. |
(6) | All the reported shares of restricted stock cliff vest in full on 3/28/2019. |
(7) | Withheld for taxes upon the 3/1/2017 vesting of 2,883 shares of restricted stock from a grant on 2/10/2015. |
(8) | The reported shares of restricted stock vest in three equal annual installments on the anniversary of the date of grant, commencing on 3/27/2018. |
(9) | The options vest in two equal or nearly equal annual installments of 40,014 and 40,015 beginning on 2/9/2016. |
(10) | The options vest on the following schedule: 4,178 (10%) on 3/30/2016; 8,356 (20%) on 3/30/2017; 12,534 (30%) on 3/30/2018; and 16,713 (40%) on 3/30/2019. |
(11) | Each share of performance-based restricted stock represents a contingent right to receive one share of Class A Common Stock. The shares of performance-based restricted stock vest upon achieving certain performance goals relating to the compound annual growth rate of The Finish Line, Inc.'s earnings per share, measured over a performance period including fiscal years 2016, 2017 and 2018. Dividend equivalent rights accrue with respect to these shares of performance-based restricted stock when and as dividends are paid on Class A Common Stock. |
(12) | The options vest on the following schedule: 5,479 (10%) on 3/28/2017; 10,958 (20%) on 3/28/2018; 16,437 (30%) on 3/28/2019; and 21,916 (40%) on 3/28/2020. |
(13) | Each share of performance-based restricted stock represents a contingent right to receive one share of Class A Common Stock. The shares of performance-based restricted stock vest upon achieving certain performance goals relating to the compound annual growth rate of The Finish Line, Inc.'s earnings per share, measured over a performance period including fiscal years 2017, 2018 and 2019. Dividend equivalent rights accrue with respect to these shares of performance-based restricted stock when and as dividends are paid on Class A Common Stock. |
(14) | The reported dividend equivalent rights accrued on the reporting person's performance-based restricted stock and will become vested proportionately with the performance-based restricted stock to which they relate. Each dividend equivalent right is the economic equivalent of one share of Class A Common Stock. |
(15) | The reported dividend equivalent rights reflect the aggregate accruals for quarterly dividends paid by The Finish Line, Inc. from the initial grant date for the performance-based restricted stock to which the dividend equivalent rights relate up to the date of this ownership report. |
(16) | Each share of performance-based restricted stock represents a contingent right to receive one share of Class A Common Stock. The shares of performance-based restricted stock vest upon achieving certain performance goals relating to the compound annual growth rate of The Finish Line, Inc.'s earnings per share and to consolidated enterprise sales growth, measured over a performance period including fiscal years 2018, 2019 and 2020. Dividend equivalent rights accrue with respect to these shares of performance-based restricted stock when and as dividends are paid on Class A Common Stock. |