Initial Statement of Beneficial Ownership (3)
August 17 2017 - 9:15AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Duenas Jose A
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/8/2017
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3. Issuer Name
and
Ticker or Trading Symbol
SONIC CORP [SONC]
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(Last)
(First)
(Middle)
300 JOHNNY BENCH DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Executive Vice President /
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(Street)
OKLAHOMA CITY, OK 73104
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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0
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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(1)
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(1)
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Common Stock
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10000
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$0
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D
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Incentive Stock Option (right to buy)
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(2)
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8/9/2024
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Common Stock
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12720
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$23.58
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D
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Non-qualified Stock Option (right to buy)
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(2)
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8/9/2024
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Common Stock
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23216
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$23.58
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D
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Explanation of Responses:
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(1)
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The Shares will vest August 9, 2020 in accordance with the terms of the Restricted Stock Units granted August 9, 2017, and will be issued in shares of Sonic Corp. common stock on a one-for-one basis, subject to certain restrictions.
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(2)
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One-third of the total number of options granted on August 9, 2017 will vest on each of the first three anniversary dates following the grant date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Duenas Jose A
300 JOHNNY BENCH DRIVE
OKLAHOMA CITY, OK 73104
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Executive Vice President
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Signatures
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Carolyn C. Cummins for Jose A. Duenas
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8/15/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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