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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 | ||||||||
Stock Option (Right to Buy | $ 39.42 | 04/20/2018 | M | 14,876 | (7) | 05/03/2026 | Common Stock | 14,876 | $ 0 | 85,000 | D | ||||
Stock Option (Right to Buy | $ 61.3 | 04/20/2018 | M | 124 | (8) | 05/07/2024 | Common Stock | 124 | $ 0 | 99,876 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Boone Karen C/O RH 15 KOCH ROAD, SUITE K CORTE MADERA, CA 94925 |
See Remarks |
/s/ Edward T. Lee as Attorney-In-Fact | 04/20/2018 | |
**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) | This transaction was executed pursuant to a Rule 10b5-1 trading plan. |
(2) | These shares of common stock were issued upon exercise of stock options granted to the reporting person on May 4, 2016. |
(3) | These shares of common stock were issued upon exercise of stock options granted to the reporting person on May 8, 2014. |
(4) | This transaction was executed in multiple trades ranging from $87.10 to $88.04. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth herein. |
(5) | This transaction was executed in multiple trades ranging from $88.17 to $89.14. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth herein. |
(6) | This transaction was executed in multiple trades ranging from $89.17 to $89.69. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth herein. |
(7) | This option award will vest and become exercisable with respect to 15% of the options on the first and second anniversaries of the grant date, 20% of the options on the third anniversary of the grant date, 25% of the options on the fourth anniversary of the grant date, and the remaining 25% on the fifth anniversary of the grant date, subject to continuous service. |
(8) | This option award will vest and become exercisable with respect to 20% of the options annually on the anniversary of the grant date, and will become fully vested on May 8, 2019. |
Remarks: President, Chief Financial and Administrative Officer |