Initial Statement of Beneficial Ownership (3)
July 20 2017 - 9:29AM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
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
*
Higgins David A.
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/13/2017
|
3. Issuer Name
and
Ticker or Trading Symbol
FINISH LINE INC /IN/ [FINL]
|
(Last)
(First)
(Middle)
3308 N. MITTHOEFFER ROAD
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
VP, Corporate Controller /
|
(Street)
INDIANAPOLIS, IN 46235
(City)
(State)
(Zip)
|
5. 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 Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Class A Common Stock
|
8880
|
D
|
|
Class A Common Stock
|
2386
|
I
|
By Employee Stock Purchase Plan
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Stock Option (Right to Buy)
|
(1)
|
6/12/2022
|
Class A Common Stock
|
643
|
$19.72
|
D
|
|
Stock Option (Right to Buy)
|
(2)
|
4/1/2023
|
Class A Common Stock
|
1404
|
$19.40
|
D
|
|
Stock Option (Right to Buy)
|
(3)
|
11/12/2023
|
Class A Common Stock
|
1388
|
$24.83
|
D
|
|
Stock Option (Right to Buy)
|
(4)
|
4/1/2024
|
Class A Common Stock
|
2318
|
$27.255
|
D
|
|
Stock Option (Right to Buy)
|
(5)
|
3/30/2025
|
Class A Common Stock
|
3104
|
$24.44
|
D
|
|
Stock Option (Right to Buy)
|
(6)
|
3/28/2026
|
Class A Common Stock
|
6661
|
$20.475
|
D
|
|
Performance-Based Restricted Stock
|
(7)
|
3/27/2020
|
Class A Common Stock
|
1079
|
(7)
|
D
|
|
Dividend Equivalent Rights
|
(8)
|
(8)
|
Class A Common Stock
|
8
|
(8)
|
D
|
|
Explanation of Responses:
|
(1)
|
The options vested over 4 years on the anniversary of the 6/12/2012 date of grant on a schedule of 10%, 20%, 30% and 40% on the respective succeeding anniversaries, with the total option grant vesting fully on 6/12/2016.
|
(2)
|
The options vested over 4 years on the anniversary of the 4/1/2013 date of grant on a schedule of 10%, 20%, 30% and 40% on the respective succeeding anniversaries, with the total option grant vesting fully on 4/1/2017.
|
(3)
|
The options vest over 4 years on the anniversary of the 11/12/2013 date of grant on a schedule of 10%, 20%, 30% and 40% on the respective succeeding anniversaries, with the total option grant vesting fully on 11/12/2017.
|
(4)
|
The options vest over 4 years on the anniversary of the 4/1/2014 date of grant on a schedule of 10%, 20%, 30% and 40% on the respective succeeding anniversaries, with the total option grant vesting fully on 4/1/2018.
|
(5)
|
The options vest over 4 years on the anniversary of the 3/30/2015 date of grant on a schedule of 10%, 20%, 30% and 40% on the respective succeeding anniversaries, with the total option grant vesting fully on 3/30/2019.
|
(6)
|
The options vest over 4 years on the anniversary of the 3/28/2016 date of grant on a schedule of 10%, 20%, 30% and 40% on the respective succeeding anniversaries, with the total option grant vesting fully on 3/28/2020.
|
(7)
|
Each share of performance-based restricted stock represents a contingent right to receive one share of Class A Common Stock. The shares of performance-based restricted stock vest upon achieving certain performance goals relating to (i) the compound annual growth rate of The Finish Line, Inc.'s earnings per share, and (ii) consolidated enterprise sales growth, measured over a performance period including fiscal years 2018, 2019 and 2020. Dividend equivalent rights accrue with respect to these shares of performance-based restricted stock when and as dividends are paid on Class A Common Stock.
|
(8)
|
The reported dividend equivalent rights accrued on the reporting person's performance-based restricted stock and will become vested proportionately with the performance-based restricted stock to which they relate. Each dividend equivalent right is the economic equivalent of one share of Class A Common Stock.
|
Remarks:
Exhibit 24 - Power of Attorney
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Higgins David A.
3308 N. MITTHOEFFER ROAD
INDIANAPOLIS, IN 46235
|
|
|
VP, Corporate Controller
|
|
Signatures
|
/s/ Christopher C. Eck, as attorney-in-fact for David A. Higgins
|
|
7/20/2017
|
**
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 5(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.
|
The Finish Line, Inc. (delisted) (NASDAQ:FINL)
Historical Stock Chart
From Apr 2024 to May 2024
The Finish Line, Inc. (delisted) (NASDAQ:FINL)
Historical Stock Chart
From May 2023 to May 2024