Statement of Changes in Beneficial Ownership (4)
26 Mai 2023 - 10:33PM
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).
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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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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
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Hackman Gregory V. |
2. Issuer Name and Ticker or Trading Symbol
Boot Barn Holdings, Inc.
[
BOOT
]
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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) EVP, COO |
(Last)
(First)
(Middle)
C/O BOOT BARN HOLDINGS, INC., 15345 BARRANCA PKWY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/26/2023 |
(Street)
IRVINE, CA 92618 |
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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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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 | 5/26/2023 | | M | | 11000 | A | $7.11 | 58954 | D | |
Common Stock | 5/26/2023 | | M | | 6749 | A | $6.15 | 65703 | D | |
Common Stock | 5/26/2023 | | M | | 7166 | A | $23.92 | 72869 | D | |
Common Stock | 5/26/2023 | | S | | 15749 | D | $69.1636 (1) | 57120 (2) | D | |
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 |
Options | $6.15 | 5/26/2023 | | M | | | 6749 | (3) | 6/5/2025 (4) | Common Stock | 6749 | $0 | 0 | D | |
Options | $7.11 | 5/26/2023 | | M | | | 11000 | (5) | 5/20/2024 (4) | Common Stock | 11000 | $0 | 0 | D | |
Common Stock | $23.92 | 5/26/2023 | | M | | | 7166 | (6) | 5/24/2026 (4) | Common Stock | 7166 | $0 | 0 | D | |
Common Stock | $20.94 | | | | | | | (7) | 5/21/2030 | Common Stock | 9379 | | 9379 | D | |
Common Stock | $23.57 | | | | | | | (7) | 8/9/2030 | Common Stock | 9015 | | 9015 | D | |
Common Stock | $24.08 | | | | | | | (7) | 5/21/2030 | Common Stock | 10010 | | 10010 | D | |
Common Stock | $28.63 | | | | | | | (8) | 5/20/2029 | Common Stock | 6214 | | 6214 | D | |
Explanation of Responses: |
(1) | Reflects the weighted average price of sales on May 26, 2023. The shares were sold in multiple transactions at prices ranging from $68.52 to $70.00, inclusive. The reporting person undertakes to provide to Boot Barn Holdings, Inc., any security holder of Boot Barn Holdings, Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. |
(2) | Amount of securities beneficially owned consists of the number of shares of common stock held by the reporting person as of May 26, 2023. |
(3) | The Options were granted under the Company's 2014 Equity Incentive Plan and were subject to vesting over a five-year period in equal annual installments on each anniversary of the grant date and became fully vested on June 5, 2022. |
(4) | The Options expire the earlier of the expiration date, or 30 days from retirement. On March 31, 2023, Mr. Hackman announced his plan to retire in June 2023. |
(5) | The Options were granted under the Company's 2014 Equity Incentive Plan and were subject to vesting over a five-year period in equal annual installments on each anniversary of the grant date and became fully vested on May 20, 2021. |
(6) | The Options were granted under the Company's 2014 Equity Incentive Plan and were subject to vesting over a four-year period in equal annual installments on each anniversary of the grant date and became fully vested on May 24, 2022. |
(7) | The Options were granted under the Company's 2014 Equity Incentive Plan and are subject to vesting over a four-year period in equal annual installments on each anniversary of the grant date. |
(8) | The Options were granted under the Company's 2014 Equity Incentive Plan and were subject to vesting over a four-year period in equal annual installments on each anniversary of the grant date and became fully vested on May 20, 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hackman Gregory V. C/O BOOT BARN HOLDINGS, INC. 15345 BARRANCA PKWY IRVINE, CA 92618 |
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| EVP, COO |
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Signatures
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/s/ Gregory V. Hackman | | 5/26/2023 |
**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. |
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