AI assistant
BUILD-A-BEAR WORKSHOP INC — Director's Dealing 2014
Mar 13, 2014
32281_dirs_2014-03-13_10e178fd-9692-4eb9-9cdb-f9c67b575aff.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BUILD A BEAR WORKSHOP INC (BBW)
CIK: 0001113809
Period of Report: 2014-03-12
Reporting Person: Klocke Tina (Chief Oper. & Financial Bear)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-12 | Common Stock | M | 16400 | $8.78 | Acquired | 171682 | Direct |
| 2014-03-12 | Common Stock | S | 16400 | $9.10 | Disposed | 155282 | Direct |
| 2014-03-13 | Common Stock | M | 8600 | $8.78 | Acquired | 163882 | Direct |
| 2014-03-13 | Common Stock | S | 8600 | $9.15 | Disposed | 155282 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-03-12 | Employee Stock Option (Right to Buy) | $8.78 | M | 16400 | Disposed | 2014-03-16 | Common Stock (16400) | Direct |
| 2014-03-13 | Employee Stock Option (Right to Buy) | $8.78 | M | 8600 | Disposed | 2014-03-16 | Common Stock (8600) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 100 | Indirect |
| Common Stock | 100 | Indirect |
| Common Stock | 300 | Indirect |
Footnotes
F1: Shares sold as part of a cashless exercise of an employee stock option.
F2: The reporting price is the weighted average sale price per share for 9 transactions in which the sale prices range from $9.10 to $9.15 per share. The Reporting Person undertakes to provide full information regarding the number of shares sold at each separate sale price upon request of the Securities and Exchange Commission staff, the issuer or any security holder of the issuer.
F3: After giving effect to the transactions reported in this Form 4, Ms. Klocke directly owns 116,483 shares of common stock and 38,799 shares of restricted stock of Build-A-Bear Workshop, Inc. In addition, Ms. Klocke holds vested options to purchase 73,302 shares and unvested options to purchase 15,158 shares of Build-A-Bear Workshop, Inc.'s common stock. In addition, Ms. Klocke indirectly beneficially owns 200 shares through trusts for the benefit of two sons and 300 shares through her spouse.
F4: Under the terms of the grant, the options vested automatically upon the consummation of Build-A-Bear Workship, Inc.'s public offering on October 28, 2004.