Statement of Changes in Beneficial Ownership (4)
10 12월 2021 - 6:08AM
Edgar (US Regulatory)
FORM 4
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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
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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kretchmar Jennifer |
2. Issuer Name and Ticker or Trading Symbol
BUILD-A-BEAR WORKSHOP INC
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BBW
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
C/O BUILD-A-BEAR WORKSHOP, INC., 415 SOUTH 18TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/7/2021 |
(Street)
ST. LOUIS, MO 63103
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/7/2021 | | M | | 3972 | A | $11.43 | 166491 | D | |
Common Stock | 12/7/2021 | | M | | 22314 | A | $13.69 | 188805 | D | |
Common Stock | 12/7/2021 | | M | | 7122 | A | $8.85 | 195927 | D | |
Common Stock | 12/7/2021 | | M | | 32278 | A | $8.60 | 228205 | D | |
Common Stock | 12/7/2021 | | S | | 38307 | D | $21.6186 (1) | 189898 | D | |
Common Stock | 12/7/2021 | | S | | 27379 | D | $22.0665 (2) | 162519 | D (3) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Employee Stock Option (Right to Buy) | $11.43 | 12/7/2021 | | M | | | 3972 | 8/12/2017 (4) | 8/12/2024 | Common Stock | 3972 | $0 | 0 | D | |
Employee Stock Option (Right to Buy) | $13.69 | 12/7/2021 | | M | | | 22314 | 3/15/2019 (5) | 3/7/2026 | Common Stock | 22314 | $0 | 0 | D | |
Employee Stock Option (Right to Buy) | $8.85 | 12/7/2021 | | M | | | 7122 | 3/31/2020 (6) | 3/14/2027 | Common Stock | 7122 | $0 | 0 | D | |
Employee Stock Option (Right to Buy) | $8.60 | 12/7/2021 | | M | | | 32278 | 3/15/2020 (7) | 3/15/2023 | Common Stock | 32278 | $0 | 0 | D | |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.99, inclusive. The Reporting Person undertakes to provide to Build-A-Bear Workshop, Inc., any security holder of Build-A-Bear Workshop, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.17, inclusive. The Reporting Person undertakes to provide to Build-A-Bear Workshop, Inc., any security holder of Build-A-Bear Workshop, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
(3) | After giving effect to the transactions reported in this Form 4, Ms. Kretchmar directly owns 99,430 shares of common stock and 63,089 of restricted stock of Build-A-Bear Workshop, Inc. In addition, Ms. Kretchmar holds vested options to purchase 5,826 shares of Build-A-Bear Workshop, Inc.'s common stock. |
(4) | The options vested one-third on each of August 12, 2015, 2016 and 2017. |
(5) | The options vested one-third on each of March 15, 2017, 2018 and 2019. |
(6) | The options vested one-third on each of March 31, 2018, 2019 and 2020. |
(7) | The options vested on March 15, 2020. |
Remarks: Chief Digital and Merchandising Officer |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kretchmar Jennifer C/O BUILD-A-BEAR WORKSHOP, INC. 415 SOUTH 18TH STREET ST. LOUIS, MO 63103 |
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| See Remarks |
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Signatures
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/s/ Eric R. Fencl, attorney-in-fact for Jennifer Kretchmar | | 12/9/2021 |
**Signature of Reporting Person | Date |
Build A Bear Workshop (NYSE:BBW)
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