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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 18 | 05/14/2014 | M | 20,000 | (8) | 12/31/2016 | Class A Common Stock | 20,000 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 20.3 | 05/14/2014 | M | 60,000 | (9) | 06/30/2015 | Class A Common Stock | 60,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KELLY MICHAEL 9601 S. MERIDIAN BLVD. ENGLEWOOD, CO 80112 |
President - Blockbuster L.L.C. |
/s/ Michael Kelly, by Brandon Ehrhart, his Attorney in Fact | 05/16/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Based upon a weighted average sales price. The shares reported in this transaction were sold at prices ranging between $60.00 and $60.01. Information regarding the number of shares sold at each separate price will be made available upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer. |
(2) | Includes shares acquired under the Company's Employee Stock Purchase Plan. |
(3) | Based upon a weighted average sales price. The shares reported in this transaction were sold at prices ranging between $60.00 and $60.91. Information regarding the number of shares sold at each separate price will be made available upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer. |
(4) | Taking into account the transactions reported on this Form 4 and other transactions previously reported, the amount of securities directly beneficially owned by the reporting person is 1,303. |
(5) | Gift to minor children who share the reporting person's household. The reporting person disclaims beneficial ownership of the securities held by his children, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
(6) | The shares were contributed by the reporting person to trusts for the benefit of the reporting person's children. The reporting person is the trustee for the trusts and retains investment and voting power over the trusts. |
(7) | By 401(k). |
(8) | The grant was subject to achievement of certain performance criteria on or before December 31, 2011 and certain portions of the grant vested based on achievement of such criteria. The performance criteria are not tied to the market price of the Issuer's securities. |
(9) | The options vested at the rate of 20% per year, commencing on June 30, 2006. |