Statement of Changes in Beneficial Ownership (4)
2017年9月19日 - 2:12AM
Edgar (US Regulatory)
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
REPASS RANDOLPH K
|
2. Issuer Name
and
Ticker or Trading Symbol
WEST MARINE INC
[
WMAR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
500 WESTRIDGE DRIVE
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/8/2017
|
(Street)
WATSONVILLE, CA 95076
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
6/8/2017
|
6/8/2017
|
G
|
V
|
2000
|
D
|
$0
|
230600
|
I
|
By Spouse
|
Common Stock
|
9/5/2017
|
9/5/2017
|
G
|
V
|
15000
(1)
|
D
|
$0
|
215600
|
I
|
By Spouse
|
Common Stock
|
9/5/2017
|
9/5/2017
|
G
|
V
|
200000
(2)
|
D
|
$0
|
4301171
|
D
|
|
Common Stock
|
9/5/2017
|
9/5/2017
|
G
|
V
|
1200000
(1)
|
D
|
$0
|
3101171
|
D
|
|
Common Stock
|
9/14/2017
|
9/14/2017
|
D
(3)
|
|
215600
|
D
|
$12.97
(4)
|
0
|
I
|
By Spouse
|
Common Stock
|
9/14/2017
|
9/14/2017
|
D
(3)
|
|
3101171
(5)
|
D
|
$12.97
(4)
|
0
|
D
|
|
Common Stock
|
9/14/2017
|
9/14/2017
|
D
(3)
|
|
801383
|
D
|
$12.97
(4)
|
0
|
I
|
(see Footnote)
(6)
|
Common Stock
|
9/14/2017
|
9/14/2017
|
D
(3)
|
|
372715
|
D
|
$12.97
(4)
|
0
|
I
|
Trust for younger adult Son
|
Common Stock
|
9/14/2017
|
9/14/2017
|
D
(3)
|
|
147800
|
D
|
$12.97
(4)
|
0
|
I
|
Trust for older adult Son
|
Common Stock
|
9/14/2017
|
9/14/2017
|
D
(3)
|
|
40400
|
D
|
$12.97
(4)
|
0
|
I
|
Trust for Grandchildren
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
7. Title and Amount of Securities Underlying Derivative Security
(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
|
Non-Qualified Stock Option (right to buy)
|
$8.99
|
9/14/2017
|
9/14/2017
|
D
|
|
|
10123
|
5/26/2017
|
5/26/2023
|
Common Stock
|
10123.0
|
(7)
|
0
|
D
|
|
Explanation of Responses:
|
(1)
|
Contribution to a donor advised fund.
|
(2)
|
Contribution to the Repass-Rodgers Family Foundation.
|
(3)
|
Outstanding shares of common stock disposed of pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 29, 2017, by and among the Issuer, Rising Tide Parent, Inc., a Delaware corporation ("Parent"), and Rising Tide Merger Sub, Inc., a Delaware corporation and a wholly-owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, effective September 14, 2017, Merger Sub was merged with and into the Issuer, with the Issuer surviving the merger as a wholly-owned subsidiary of Parent.
|
(4)
|
Outstanding shares disposed of pursuant to the Merger Agreement in exchange for $12.97 for each share of the Issuer's common stock held by the Reporting Person.
|
(5)
|
Includes 6,493 restricted stock units ("RSUs") that were accelerated and became fully-vested and then cancelled pursuant to the terms of the Merger Agreement in exchange for a cash payment equal to the product of (i) the total number of shares of the Issuer's common stock subject to the cancelled RSUs multiplied by (ii) $12.97.
|
(6)
|
Held by GRAT. Mr. Repass as co-trustee has sole investment power over the shares held by the GRAT, and his brother-in-law has sole voting power over the shares held by the GRAT.
|
(7)
|
Stock options were cancelled pursuant to the Merger Agreement in exchange for a cash payment equal to the product of (i) the total number of shares of the Issuer's common stock subject to the cancelled stock option multiplied by (ii) the excess of $12.97 over the per share exercise price of the stock option.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
REPASS RANDOLPH K
500 WESTRIDGE DRIVE
WATSONVILLE, CA 95076
|
X
|
X
|
|
|
Signatures
|
/s/ Pamela Fields, attorney-in-fact
|
|
9/18/2017
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
West Marine (NASDAQ:WMAR)
過去 株価チャート
から 10 2024 まで 11 2024
West Marine (NASDAQ:WMAR)
過去 株価チャート
から 11 2023 まで 11 2024
Real-Time news about West Marine, Inc. (ナスダック市場): 0 recent articles
その他のWest Marine Incニュース記事