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MONRO, INC. — Director's Dealing 2016
Nov 18, 2016
32744_dirs_2016-11-18_747ba341-8df8-4d3b-978c-26c16dde8087.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: MONRO MUFFLER BRAKE INC (MNRO)
CIK: 0000876427
Period of Report: 2016-11-16
Reporting Person: D AMICO CATHERINE (Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-11-16 | Common Stock | F | 11160 | $58.05 | Disposed | 178363 | Direct |
| 2016-11-16 | Common Stock | M | 11250 | $15.39 | Acquired | 189613 | Direct |
| 2016-11-16 | Common Stock | M | 9000 | $18.05 | Acquired | 198613 | Direct |
| 2016-11-16 | Common Stock | M | 8000 | $39.03 | Acquired | 206613 | Direct |
| 2016-11-16 | Common Stock | F | 8813 | $58.05 | Disposed | 197800 | Direct |
| 2016-11-16 | Common Stock | S | 600 | $58.50 | Disposed | 197200 | Direct |
| 2016-11-17 | Common Stock | G | 1750 | $57.95 | Disposed | 195450 | Direct |
| 2016-11-18 | Common Stock | S | 8450 | $58.00 | Disposed | 187000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-11-16 | Options (Right to buy) | $15.39 | M | 2812 | Disposed | 2017-05-16 | Common Stock (2812) | Direct |
| 2016-11-16 | Options (Right to buy) | $15.39 | M | 2813 | Disposed | 2017-05-16 | Common Stock (2813) | Direct |
| 2016-11-16 | Options (Right to buy) | $15.39 | M | 2812 | Disposed | 2017-05-16 | Common Stock (2812) | Direct |
| 2016-11-16 | Options (Right to buy) | $15.39 | M | 2813 | Disposed | 2017-05-16 | Common Stock (2813) | Direct |
| 2016-11-16 | Options (Right to buy) | $18.05 | M | 2250 | Disposed | 2019-05-19 | Common Stock (2250) | Direct |
| 2016-11-16 | Options (Right to buy) | $18.05 | M | 2250 | Disposed | 2019-05-19 | Common Stock (2250) | Direct |
| 2016-11-16 | Options (Right to buy) | $18.05 | M | 2250 | Disposed | 2019-05-19 | Common Stock (2250) | Direct |
| 2016-11-16 | Options (Right to buy) | $18.05 | M | 2250 | Disposed | 2019-05-19 | Common Stock (2250) | Direct |
| 2016-11-16 | Options (Right to buy) | $39.03 | M | 2000 | Disposed | 2018-05-14 | Common Stock (2000) | Direct |
| 2016-11-16 | Options (Right to buy) | $39.03 | M | 2000 | Disposed | 2018-05-14 | Common Stock (2000) | Direct |
| 2016-11-16 | Options (Right to buy) | $39.03 | M | 2000 | Disposed | 2018-05-14 | Common Stock (2000) | Direct |
| 2016-11-16 | Options (Right to buy) | $39.03 | M | 2000 | Disposed | 2018-05-14 | Common Stock (2000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| HOLDINGS | 189523 | Direct |
Footnotes
F1: As permitted pursuant to the terms of the 1998 Employee Incentive Stock Option Plan and the 2007 Stock Option Plan, the reporting person utilized her ownership of existing shares in order to exercise options to purchase 28,250 non-qualified stock options, which option exercises are being reported on Tables I and II. The shares were valued at the closing price, respectively, for the Issuer's stock on November 16, 2016, the dates on which the reporting person exercised the options.
F2: As permitted pursuant to the terms of the 1998 Employee Incentive Stock Option Plan and the 2007 Stock Option Plan, the reporting person satisfied any requisite taxes incurred as a result of the option exercises being reported on Tables I and II of this Form 4 by the Issuer withholding shares otherwise deliverable from the exercise of the options.
F3: The reporting person's holdings of Monro stock increased by 8,277 shares as a result of these transactions, which were completed for purposes of estate and tax planning.