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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Conroy James Grant C/O BOOT BARN HOLDINGS, INC. 15345 BARRANCA PKWY IRVINE, CA 92618 |
X | Chief Executive Officer |
/s/ James Grant Conroy | 05/23/2018 | |
**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) | On June 9, 2016, in connection with the vesting of shares underlying 1,562 previously disclosed restricted stock units, the issuer withheld 587 shares of common stock to satisfy withholding taxes due in connection with such vesting. Such shares had a market value of $8.68 per share, the closing price of the common stock on the vesting date. Consists of the number of shares of common stock held by the reporting person as of June 9, 2016, including the shares awarded in connection with such vesting, and 21,126 shares of common stock subject to further vesting conditions. |
(2) | On May 20, 2017, in connection with the vesting of shares underlying 2,977 previously disclosed restricted stock units, the issuer withheld 1,119 shares of common stock to satisfy withholding taxes due in connection with such vesting. Such shares had a market value of $7.98 per share, the closing price of the common stock on the first trading day following the vesting date. Consists of the number of shares of common stock held by the reporting person as of May 20, 2017, including the shares awarded in connection with such vesting, and 18,149 shares of common stock subject to further vesting conditions. |
(3) | On June 9, 2017, in connection with the vesting of shares underlying 1,561 previously disclosed restricted stock units, the issuer withheld 587 shares of common stock to satisfy withholding taxes due in connection with such vesting. Such shares had a market value of $6.57 per share, the closing price of the common stock on the vesting date. Consists of the number of shares of common stock held by the reporting person as of June 9, 2017, including the shares awarded in connection with such vesting, and 29,767 shares of common stock subject to further vesting conditions. |
(4) | On May 20, 2018, in connection with the vesting of shares underlying 2,976 previously disclosed restricted stock units, the issuer withheld 1,476 shares of common stock to satisfy withholding taxes due in connection with such vesting. Such shares had a market value of $23.83 per share, the closing price of the common stock on the first trading day following the vesting date. Consists of the number of shares of common stock held by the reporting person as of May 20, 2018, including the shares awarded in connection with such vesting, but excluding any shares of common stock subject to further vesting conditions. See Note 5 below. |
(5) | Consists of the number of shares of common stock underlying previously disclosed restricted stock units held by the reporting person as of May 23, 2018 that remain subject to time-based vesting. |