Filing Details

Accession Number:
0000899243-21-007388
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-02-19 16:32:16
Reporting Period:
2021-02-17
Accepted Time:
2021-02-19 16:32:16
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1771515 Grocery Outlet Holding Corp. GO Retail-Grocery Stores (5411) 471874201
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1779740 Jr. J. Eric Lindberg C/O Grocery Outlet Holding Corp.
5650 Hollis Street
Emeryville CA 94608
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2021-02-17 25,000 $3.81 50,136 No 4 M Direct
Common Stock Disposition 2021-02-17 23,608 $41.81 26,528 No 4 S Direct
Common Stock Disposition 2021-02-17 1,392 $42.25 25,136 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Options (Right to Buy) Disposition 2021-02-17 25,000 $0.00 25,000 $3.81
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,007,614 2024-10-21 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,126,670 Indirect By Lindberg Revocable Trust
Common Stock 701,500 Indirect By Lindberg Revocable Trust
Common Stock 460 Indirect By child
Common Stock 460 Indirect By spouse
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a previously adopted Rule 10b5-1 trading plan.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.22 to $42.21, 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 (2) to this Form 4.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.22 to $42.30, 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, 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.
  4. Reflects shares directly held by The Lindberg Family Revocable Trust u/a/d 2/14/2006 of which Mr. Lindberg is a Trustee
  5. Reflects shares directly held by The Lindberg Family Irrevocable Trust u/a/d 5/12/2017 of which Mr. Lindberg is a Trustee.
  6. 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.