Statement of Changes in Beneficial Ownership (4)
03 7월 2015 - 1:27AM
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
*
Schmidt William G
|
2. Issuer Name
and
Ticker or Trading Symbol
DOVER SADDLERY INC
[
DOVR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Operating Officer
|
|
(Last)
(First)
(Middle)
525 GREAT RD
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/1/2015
|
|
(Street)
LITTLETON, MA 01460
(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
|
7/1/2015
|
7/1/2015
|
U
|
|
25250
|
D
|
$8.50
|
0
|
D
|
|
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
|
|
Incentive Stock Option
|
$4.50
|
7/1/2015
|
7/1/2015
|
U
|
|
|
15725
|
(1)
|
11/13/2017
|
Common Stock
|
15725
|
$8.50
|
0
|
D
|
|
|
Incentive Stock Option
|
$1.24
|
7/1/2015
|
7/1/2015
|
U
|
|
|
2644
|
(2)
|
11/20/2018
|
Common Stock
|
2644
(3)
|
$8.50
|
0
|
D
|
|
|
Incentive Stock Option
|
$3.10
|
7/1/2015
|
7/1/2015
|
U
|
|
|
15725
|
(4)
|
11/16/2020
|
Common Stock
|
15725
|
$8.50
|
0
|
D
|
|
|
Incentive Stock Option
|
$3.32
|
7/1/2015
|
7/1/2015
|
U
|
|
|
15725
|
(5)
|
11/27/2021
|
Common Stock
|
15725
|
$8.50
|
0
|
D
|
|
|
Incentive Stock Option
|
$3.59
|
7/1/2015
|
7/1/2015
|
U
|
|
|
15725
|
(6)
|
11/15/2022
|
Common Stock
|
15725
|
$8.50
|
0
|
D
|
|
|
Incentive Stock Option
|
$4.90
|
7/1/2015
|
7/1/2015
|
U
|
|
|
15725
|
(7)
|
11/19/2023
|
Common Stock
|
15725
|
$8.50
|
0
|
D
|
|
|
Explanation of Responses:
|
|
(
1)
|
Granted on 11/14/2007 and vested on anniversary date of grant at 20% per year for five years.
|
|
(
2)
|
Granted on 11/21/2008 and vested on anniversary date of grant at 20% per year for five years.
|
|
(
3)
|
A total of 13,200 Incentive Stock options were granted in 11/20/2008, of this award 2,644 vested option have been purchased by the reporting person on 6/3/2010, 1/31/2011, 11/21/2011 and 11/26/2012.
|
|
(
4)
|
Granted on 11/17/2010 and vest on anniversary date of grant at 20% per year for five years. Per terms of option grant, upon a change of control, vesting of all options accelerates and occurs immediately prior to closing of transaction.
|
|
(
5)
|
Granted on 11/28/2011 and vest on anniversary date of grant at 20% per year for five years. Per terms of option grant, upon a change of control, vesting of all options accelerates and occurs immediately prior to closing of transaction.
|
|
(
6)
|
Granted on 11/16/2012 and vest on anniversary date of grant at 20% per year for five years. Per terms of option grant, upon a change of control, vesting of all options accelerates and occurs immediately prior to closing of transaction.
|
|
(
7)
|
Granted on 11/20/2013 and vest on anniversary date of grant at 20% per year for five years. Per terms of option grant, upon a change of control, vesting of all options accelerates and occurs immediately prior to closing of transaction.
|
Reporting Owners
|
|
Reporting Owner Name / Address
|
Relationships
|
|
Director
|
10% Owner
|
Officer
|
Other
|
Schmidt William G
525 GREAT RD
LITTLETON, MA 01460
|
|
|
Chief Operating Officer
|
|
Signatures
|
|
/s/ William G. Schmidt
|
|
7/2/2015
|
|
**
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.
|
Dover Saddlery (NASDAQ:DOVR)
과거 데이터 주식 차트
부터 5월(5) 2024 으로 6월(6) 2024
Dover Saddlery (NASDAQ:DOVR)
과거 데이터 주식 차트
부터 6월(6) 2023 으로 6월(6) 2024
