Accession Number: | 0001209191-14-064287 |
Date: | 2014-10-20 |
Issuer: | DOVER SADDLERY INC (DOVR) |
Original Submission Date: |
GRYLLS JONATHAN AR
525 GREAT RD
LITTLETON, MA 01460
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2014-10-20 | P | 38,665 | a | $1.94 | 179,000 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
INCENTIVE STOCK OPTION (RIGHT TO BUY) | 1.94 | 2014-10-20 | deemed execution date | C | 38,665 (d) | 2014-12-29 | common stock 38,665 | $1.94 | 91,845 | direct |
ID | footnote |
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f1 | the reporting person transferred 54,735 shares of the issuer's common stock (the "shares") to the jonathan andrew richard grylls living trust u/d/t dated september 27, 2006 (the "trust"), of which the reporting person is one of the trustees. the reporting person continues to have a pecuniary interest in the trust, as the beneficiary of the trust, has investment control over the shares; and as the settlor of the trust, has the right to revoke the trust without the consent of another person.includes (i) 54,735 shares of the issuer's common stock (the "shares") held by the trust, as the result of the transfer reported hereby, and (ii) 124,265 shares held by the reporting person individually after exercising incentive stock option to purchase a total of 38,665 shares of common stock, as reported in table ii. |
f2 | all options had vested at end of 5-year vesting schedule on december 29, 2009. |
f3 | reflects total outstanding incentive stock options held by this reporting person as pf 10/22/2014. together with non-qualified stock options the total stock options held by this reporting person as of 10/22/2014 equals 112,285. |