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Filing Details

Accession Number:: 0000899243-21-004706
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2021-02-03 17:01:06
Reporting Period:: 2021-01-27

Accepted Time:: 2021-02-03 17:01:06
Original Submission Date:: 2021-01-28
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1771515	Grocery Outlet Holding Corp.	GO	()	4/A

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1444802	Charles Bracher	C/O Grocery Outlet Holding Corp., 5650 Hollis Street Emeryville CA 94608	Chief Financial Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2021-01-27	9,375	$3.81	63,144	No	4	M	Direct
Common Stock	Acquisiton	2021-01-27	9,375	$7.13	72,519	No	4	M	Direct
Common Stock	Disposition	2021-01-27	16,400	$45.77	56,119	No	4	S	Direct
Common Stock	Disposition	2021-01-27	2,350	$46.18	53,769	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Options (Right to Buy)	Disposition	2021-01-27	9,375	$0.00	9,375	$3.81
Common Stock	Stock Options (Right to Buy)	Disposition	2021-01-27	9,375	$0.00	9,375	$7.13

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
153,280		2024-11-25	No	4	M	Direct
118,281		2024-11-25	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	1,410	Indirect	By spouse
Common Stock	400	Indirect	By child
Common Stock	400	Indirect	By child
Common Stock	400	Indirect	By child

Footnotes

The sales reported in this Form 4 were effected pursuant to a previously adopted Rule 10b5-1 trading plan.
The original Form 4, filed on January 28, 2021, incorrectly reported that on January 27, 2021 the reporting person exercised 8,700 and 8,800, respectively, of the options reflected in Table II above and sold all of the shares received in respect of such options on such date. The original Form 4 is hereby amended to reflect that on January 27, 2021, the reporting person exercised 9,375 and 9,375, respectively, of the options reflected on Table II above and sold all of the shares received in respect of such options on such date as shown in Table I above. The price received by the reporting person in respect of such share sales in Column 4 of Table I has also been corrected.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.14 to $46.13, inclusive. The reporting person undertakes to provide to Grocery Outlet Holding Corp. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "Commission"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.14 to $46.28, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.
Reflects shares directly held by a trust for the benefit of the reporting person's eldest child, who shares the reporting person's household. The reporting person disclaims beneficial ownership of the shares held on behalf of his child by this trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.
Reflects shares directly held by a trust for the benefit of the reporting person's second eldest child, who shares the reporting person's household. The reporting person disclaims beneficial ownership of the shares held on behalf of his child by this trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.
Reflects shares directly held by a trust for the benefit of the reporting person's youngest child, who shares the reporting person's household. The reporting person disclaims beneficial ownership of the shares held on behalf of his child by this trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.
Represents previously granted stock options which were deemed earned and acquired upon the satisfaction of certain performance vesting criteria. These stock options are vested and exercisable.
Represents stock options granted on November 25, 2014 which vested in five equal installments on each of the first five anniversaries of the grant date.