Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | GO | Common Stock | Options Exercise | $203K | +53.4K | +47.87% | $3.81* | 165K | Jun 29, 2023 | Direct | |
transaction | GO | Common Stock | Options Exercise | $380K | +53.2K | +32.3% | $7.13* | 218K | Jun 29, 2023 | Direct | |
transaction | GO | Common Stock | Sale | -$2.18M | -72.1K | -33.07% | $30.17 | 146K | Jun 29, 2023 | Direct | F1, F2 |
transaction | GO | Common Stock | Sale | -$1.04M | -34.5K | -23.63% | $30.16 | 111K | Jun 29, 2023 | Direct | F1, F3 |
holding | GO | Common Stock | 1.41K | Jun 29, 2023 | By spouse | ||||||
holding | GO | Common Stock | 400 | Jun 29, 2023 | By child | F4 | |||||
holding | GO | Common Stock | 400 | Jun 29, 2023 | By child | F5 | |||||
holding | GO | Common Stock | 400 | Jun 29, 2023 | By child | F6 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
transaction | GO | Stock Options (Right to Buy) | Options Exercise | $0 | -53.4K | -100% | $0.00* | 0 | Jun 29, 2023 | Common Stock | 53.4K | $3.81 | Direct | F7 |
transaction | GO | Stock Options (Right to Buy) | Options Exercise | $0 | -53.2K | -68.05% | $0.00 | 25K | Jun 29, 2023 | Common Stock | 53.2K | $7.13 | Direct | F7 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
Id | Content |
---|---|
F1 | This transaction was effected pursuant to a previously adopted Rule 10b5-1 trading plan. |
F2 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.32, inclusive. The reporting person undertakes to provide to Grocery Outlet Holding Corp. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
F3 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.29, inclusive. The reporting person undertakes to provide to Grocery Outlet Holding Corp. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
F4 | Reflects shares directly held by a trust for the benefit of the reporting person's eldest child, who shares the reporting person's household. The reporting person disclaims beneficial ownership of the shares held on behalf of his child by this trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose |
F5 | Reflects shares directly held by a trust for the benefit of the reporting person's middle child, who shares the reporting person's household. The reporting person disclaims beneficial ownership of the shares held on behalf of his child by this trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose |
F6 | Reflects shares directly held by a trust for the benefit of the reporting person's youngest child, who shares the reporting person's household. The reporting person disclaims beneficial ownership of the shares held on behalf of his child by this trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose. |
F7 | These stock options are vested and exercisable and have an expiration date of 11/25/2024. |