4//SEC Filing
Dawson John 4
Accession 0001181431-11-043786
CIK 0001357204other
Filed
Aug 2, 8:00 PM ET
Accepted
Aug 3, 9:34 PM ET
Size
12.1 KB
Accession
0001181431-11-043786
Insider Transaction Report
Form 4
Dawson John
Chief Development Officer
Transactions
- Other
Common Stock
2011-07-26$17.53/sh+56,356$987,921→ 149,309 total - Award
Common Stock
2011-03-09$7.31/sh+13,768$100,644→ 92,953 total - Other
Class L Common Stock
2011-07-06−23,155→ 18,387 totalExercise: $17.53→ Common Stock (56,356 underlying) - Award
Option to purchase Common Stock
2011-08-01+440→ 18,827 totalExercise: $3.02Exp: 2020-02-23→ Common Stock (440 underlying)
Footnotes (3)
- [F1]In addition, the Reporting Person purchased 17,008 shares of the Issuer's Class L Common Stock on 03/09/2011 at $14.25 per share. The Issuer's Class L Common Stock was subsequently converted to Common Stock on 07/26/2011. See note 2.
- [F2]On 07/26/2011, in connection with the Issuer's initial public offering, each share of the Issuer's Class L common stock was mandatorily converted, in accordance with the terms of the Issuer's certificate of incorporation, into approximately 0.2189 of a share common stock plus an additional number of shares of common stock determined by dividing the per share Class L preference amount of $38.8274, by $17.53, which is equal to the initial public offering price of a share of common stock net of the underwriting discount and a pro rata portion, based on the number of share being sold in the offering, of the estimated offering expenses incurred by the Issuer. With respect to the reporting person, the conversion of the Class L common stock is exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16b-3 thereunder.
- [F3]On 02/23/2010, the reporting person was granted an option to purchase 12,259 shares of Common Stock. The option vests based upon time (five equal annual installments that began on 2/23/2011) and performance (investment returns to investment funds affiliated with Bain Capital Partners, LLC, The Carlyle Group and Thomas H. Lee Partners, L.P. (collectively, the "Sponsors") criteria. As a result of the sale of shares by the Sponsors in the Issuer's initial public offering, the performance criteria was met with respect to 440 shares of common stock subject to this option award, resulting in vesting of the option as to 88 shares and an additional 352 shares that will vest in four annual installments beginning on 02/23/2012.
Documents
Issuer
DUNKIN' BRANDS GROUP, INC.
CIK 0001357204
Entity typeother
Related Parties
1- filerCIK 0001522664
Filing Metadata
- Form type
- 4
- Filed
- Aug 2, 8:00 PM ET
- Accepted
- Aug 3, 9:34 PM ET
- Size
- 12.1 KB