4//SEC Filing
Sheehan Daniel J 4
Accession 0001181431-11-043795
CIK 0001357204other
Filed
Aug 2, 8:00 PM ET
Accepted
Aug 3, 9:43 PM ET
Size
12.2 KB
Accession
0001181431-11-043795
Insider Transaction Report
Form 4
Sheehan Daniel J
Chief Information Officer
Transactions
- Award
Common Stock
2011-03-09$7.31/sh+7,222$52,793→ 36,350 total - Other
Common Stock
2011-07-26$17.53/sh−19,414$340,327→ 55,764 total - Award
Option to purchase Common Stock
2011-08-01+1,785→ 23,129 totalExercise: $3.02Exp: 2020-02-23→ Common Stock (1,785 underlying) - Other
Class L Common Stock
2011-07-26−7,976→ 21,344 totalExercise: $17.53→ Common Stock (19,414 underlying)
Footnotes (3)
- [F1]In addition, the Reporting Person purchased 8,921 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 49,802 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 1,785 shares of common stock subject to this option award, resulting in vesting of the option as to 357 shares and an additional 1,428 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 0001306487
Filing Metadata
- Form type
- 4
- Filed
- Aug 2, 8:00 PM ET
- Accepted
- Aug 3, 9:43 PM ET
- Size
- 12.2 KB