FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/20/2019 |
3. Issuer Name and Ticker or Trading Symbol
Grocery Outlet Holding Corp. [ GO ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Options (Right to Buy) | (1) | 09/29/2025 | Common Stock | 90,507 | $8.11 | D | |
Stock Options (Right to Buy) | (2) | 03/31/2027 | Common Stock | 35,075 | $8.57 | D | |
Stock Options (Right to Buy) | (3) | 12/26/2028 | Common Stock | 49,105 | $11.64 | D | |
Stock Options (Right to Buy) | (4) | 06/19/2029 | Common Stock | 63,135 | $22 | D |
Explanation of Responses: |
1. These stock options were granted on September 29, 2015 and vest in five equal installments on each of the first five anniversaries of the grant date. Does not include an additional 90,507 stock options with an exercise price of $4.79 which are eligible to vest upon the achievement of certain performance-based vesting conditions. |
2. These stock options were granted on March 31, 2017 and vest in five equal installments on each of the first five anniversaries of the grant date. Does not include an additional 35,075 stock options with an exercise price of $6.48 which are eligible to vest upon the achievement of certain performance-based vesting conditions. |
3. These stock options were granted on December 26, 2018 and vest in five equal installments on each of the first five anniversaries of the grant date. Does not include an additional 49,105 stock options with an exercise price of $11.64 which are eligible to vest upon the achievement of certain performance-based vesting conditions. |
4. These stock options vest on June 19, 2023. |
Remarks: |
Exhibit List: Exhibit 24 - Power of Attorney |
/s/ Pamela B. Burke | 06/20/2019 | |
** 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 5 (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 Number. |