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BUILD-A-BEAR WORKSHOP INC — Director's Dealing 2013
Nov 1, 2013
32281_dirs_2013-11-01_afb68a98-b63f-4f4c-a5b6-e4537f8ebbba.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BUILD A BEAR WORKSHOP INC (BBW)
CIK: 0001113809
Period of Report: 2013-10-31
Reporting Person: Kroll Teresa (Ch. Mkt. & Ent. Bear)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-10-31 | Common Stock | M | 7140 | $5.11 | Acquired | 33784 | Direct |
| 2013-10-31 | Common Stock | M | 6720 | $6.59 | Acquired | 40504 | Direct |
| 2013-10-31 | Common Stock | M | 3846 | $6.21 | Acquired | 44350 | Direct |
| 2013-10-31 | Common Stock | S | 23311 | $7.43 | Disposed | 21039 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-10-31 | Employee Stock Option (Right to Buy) | $5.11 | M | 7140 | Disposed | 2019-03-17 | Common Stock (7140) | Direct |
| 2013-10-31 | Employee Stock Option (Right to Buy) | $6.59 | M | 6720 | Disposed | 2020-03-23 | Common Stock (6720) | Direct |
| 2013-10-31 | Employee Stock Option (Right to Buy) | $6.21 | M | 3846 | Disposed | 2021-03-22 | Common Stock (3846) | Direct |
Footnotes
F1: Exercise of stock options exempt under Rule 16b-3.
F2: 17,706 of such shares sold as part of a cashless exercise of employee stock options.
F3: After giving effect to the transactions reported in this Form 4, Ms. Kroll directly beneficially owns 0 shares of common stock and 21,039 shares of restricted stock of Build-A-Bear Workshop, Inc. In addition, Ms. Kroll holds vested options to purchase 16,500 shares and unvested options to purchase 7,206 shares of Build-A-Bear Workshop, Inc. common stock.
F4: Under the terms of the grant, the options vested in four equal annual installments beginning on March 17, 2010, which was the first anniversary of the date of the grant.
F5: Under the terms of the grant, the options vested in four equal annual installments beginning on March 23, 2011, which was the first anniversary of the date of the grant.
F6: Under the terms of the grant, the options vested in four equal annual installments beginning on March 22, 2012, which was the first anniversary of the date of the grant.