SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Hazen John – ‘4’ for 3/19/21 re: Boot Barn Holdings, Inc.

On:  Tuesday, 3/23/21, at 5:12pm ET   ·   For:  3/19/21   ·   Accession #:  1179110-21-3725   ·   File #:  1-36711

Previous ‘4’:  ‘4’ on 2/1/21 for 1/28/21   ·   Next:  ‘4’ on 5/12/21 for 5/10/21   ·   Latest:  ‘4’ on 8/4/23 for 8/3/23

Find Words in Filings emoji
 
  in    Show  and   Hints

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/23/21  Hazen John                        4                      1:12K  Boot Barn Holdings, Inc.          Section16 Direct/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- edgar.xml/3.6                        




        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Hazen John

(Last)(First)(Middle)
C/O BOOT BARN HOLDINGS, INC.
15345 BARRANCA PKWY

(Street)
IRVINECA92618

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
Boot Barn Holdings, Inc. [ BOOT ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
XOfficer (give title below) Other (specify below)
Chief Digital Officer
3. Date of Earliest Transaction (Month/Day/Year)
3/19/21
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction 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)
CodeVAmount(A) or (D)Price
Common Stock 3/19/21 M 11,254A$18.6611,254D
Common Stock 3/19/21 S (1) 11,254D$64.5865 (2)0D
Common Stock 3/19/21 F (3) 1,293D$65.62,459 (4)D
Common Stock 19,575 (5)D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Options$18.66 3/19/21 M 11,254 (6) 3/19/26Common Stock11,254$022,508D
Options$28.63 (7) 5/20/29Common Stock9,321 9,321D
Options$20.94 (7) 5/21/30Common Stock12,213 12,213D
Options$24.08 (7) 5/21/30Common Stock13,035 13,035D
Explanation of Responses:
(1)  All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
(2)  Reflects the weighted average price of sales on March 19, 2021. The shares were sold in multiple transactions at prices ranging from $62.85 to $65.72, inclusive. The reporting person undertakes to provide to Boot Barn Holdings, Inc., any security holder of Boot Barn Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
(3)  On March 19, 2021, in connection with the vesting of shares underlying 3,752 previously disclosed restricted stock units, the issuer withheld 1,293 shares of common stock to satisfy withholding taxes due in connection with such vesting. Such shares had a market value of $65.60 per share, the closing price of the common stock on the vesting date. Amount of securities beneficially owned consists of the number of shares of common stock held by the reporting person as of March 19, 2021, including the shares awarded in connection with such vesting, but excluding any shares of common stock subject to further vesting conditions. See Note 5 below.
(4)  Consists of the number of shares of common stock held by the reporting person as of March 19, 2021 that are not subject to further vesting conditions.
(5)  Consists of the total number of shares of common stock underlying restricted stock units held by the reporting person as of March 19, 2021 that remain subject to time-based vesting.
(6)  The Options were granted under the Company's 2014 Equity Incentive Plan and are subject to vesting over a five-year period in equal annual installments on each anniversary of the grant date.
(7)  The Options were granted under the Company's 2014 Equity Incentive Plan and are subject to vesting over a four-year period in equal annual installments on each anniversary of the grant date.
/s/ John Hazen 3/23/21
** Signature of Reporting PersonDate
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 Number.
____________
Transaction Codes:
    F    Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
    M    Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
    S    Open market or private sale of non-derivative or derivative security.

Top
Filing Submission 0001179110-21-003725   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Thu., Mar. 28, 8:33:22.1am ET