Statement of Changes in Beneficial Ownership (4)
January 05 2017 - 5:57PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Ulrich Jerry N
|
2. Issuer Name
and
Ticker or Trading Symbol
BLACKHAWK NETWORK HOLDINGS, INC
[
HAWK
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CFO & Chief Admin Officer
|
(Last)
(First)
(Middle)
6220 STONERIDGE MALL ROAD
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/3/2017
|
(Street)
PLEASANTON, CA 94588
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
1/3/2017
|
|
M
|
|
18810
|
A
|
$0.00
|
50165
(1)
|
D
|
|
Common Stock
|
1/3/2017
|
|
F
|
|
7183
(2)
|
D
|
$38.00
|
42982
|
D
|
|
Common Stock
|
|
|
|
|
|
|
|
6000
|
I
|
See Footnote
(3)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
7. Title and Amount of Securities Underlying Derivative Security
(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)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Performance Shares (PSU)
|
(4)
|
1/3/2017
|
|
M
|
|
|
18810
|
1/3/2017
(5)
|
(5)
|
Common Stock
|
18810
(4)
|
$0.00
|
0
|
D
|
|
Explanation of Responses:
|
(
1)
|
Includes 570 shares acquired on April 29, 2016 under the Blackhawk Network Holdings, Inc. 2013 Employee Stock Purchase Plan.
|
(
2)
|
Shares tendered in payment of the tax withholding obligation for the performance shares issued on January 3, 2017 under the 2014 Performance Share Award Agreement.
|
(
3)
|
The shares are held by The Ulrich Family Trust Dated November 1, 1996 as Amended and Restated in 2011.
|
(
4)
|
Represents the performance shares earned under the 2014 performance share award as of February 23, 2015, at which date the Compensation Committee certified the extent to which the 2014 performance criteria were met. Each earned performance share represents the contingent right to receive one share of Common Stock.
|
(
5)
|
Each performance share converts into one share of Common Stock upon vesting and settlement on January 3, 2017.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Ulrich Jerry N
6220 STONERIDGE MALL ROAD
PLEASANTON, CA 94588
|
|
|
CFO & Chief Admin Officer
|
|
Signatures
|
/s/ Sheldon Quan, Attorney-In-Fact
|
|
1/5/2017
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
BLACKHAWK NETWORK HOLDINGS, INC (NASDAQ:HAWK)
Historical Stock Chart
From Aug 2024 to Sep 2024
BLACKHAWK NETWORK HOLDINGS, INC (NASDAQ:HAWK)
Historical Stock Chart
From Sep 2023 to Sep 2024