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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option(right to buy) | $ 2.03 | 03/03/2015 | M | 45,593 | (1) | 07/25/2018 | Common Stock | 45,593 | $ 0 | 4,407 | D | ||||
Stock Option(right to buy) | $ 2.03 | 03/03/2015 | F | 4,407 | (1) | 07/25/2018 | Common Stock | 4,407 | $ 0 | 0 | D | ||||
Stock Option(right to buy) | $ 8.9 | 03/03/2015 | M | 10,289 | (2) | 06/08/2019 | Common Stock | 10,289 | $ 0 | 6,480 | D | ||||
Stock Option(right to buy) | $ 8.9 | 03/03/2015 | F | 6,480 | (2) | 06/08/2019 | Common Stock | 6,480 | $ 0 | 0 | D | ||||
Stock Option(right to buy) | $ 6.54 | 03/03/2015 | M | 22,499 | (3) | 05/09/2016 | Common Stock | 22,499 | $ 0 | 27,501 | D | ||||
Stock Option(right to buy) | $ 6.54 | 03/03/2015 | F | 27,501 | (3) | 05/09/2016 | Common Stock | 27,501 | $ 0 | 0 | D | ||||
Stock Option(right to buy) | $ 8.9 | 03/03/2015 | M | 33,206 | (2) | 06/08/2019 | Common Stock | 33,206 | $ 0 | 60,025 | D | ||||
Stock Option(right to buy) | $ 8.9 | 03/03/2015 | F | 60,025 | (2) | 06/08/2019 | Common Stock | 60,025 | $ 0 | 0 | D | ||||
Stock Option(right to buy) | $ 19.06 | 03/03/2015 | M | 3,628 | (4) | 06/08/2020 | Common Stock | 3,628 | $ 0 | 32,622 | D | ||||
Stock Option(right to buy) | $ 19.06 | 03/03/2015 | F | 32,622 | (4) | 06/08/2020 | Common Stock | 32,622 | $ 0 | 0 | D | ||||
Stock Option(right to buy) | $ 12.33 | 03/03/2015 | M | 6,743 | (5) | 06/01/2021 | Common Stock | 6,743 | $ 0 | 18,257 | D | ||||
Stock Option(right to buy) | $ 12.33 | 03/03/2015 | F | 18,257 | (5) | 06/01/2021 | Common Stock | 18,257 | $ 0 | 0 | D | ||||
Stock Option(right to buy) | $ 10.93 | 03/03/2015 | M | 10,675 | (6) | 05/30/2022 | Common Stock | 10,675 | $ 0 | 24,325 | D | ||||
Stock Option(right to buy) | $ 10.93 | 03/03/2015 | F | 24,325 | (6) | 05/30/2022 | Common Stock | 24,325 | $ 0 | 0 | D | ||||
Stock Option(right to buy) | $ 15.79 | 03/03/2015 | M | 2,281 | (7) | 06/04/2023 | Common Stock | 2,281 | $ 0 | 10,219 | D | ||||
Stock Option(right to buy) | $ 15.79 | 03/03/2015 | F | 10,219 | (7) | 06/04/2023 | Common Stock | 10,219 | $ 0 | 0 | D | ||||
Stock Option(right to buy) | $ 18.46 | 03/03/2015 | M | 3,168 | (8) | 06/12/2024 | Common Stock | 3,168 | $ 0 | 24,332 | D | ||||
Stock Option(right to buy) | $ 18.46 | 03/03/2015 | F | 24,332 | (8) | 06/12/2024 | Common Stock | 24,332 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Alderson Robert E C/O KIRKLAND'S, INC. 5310 MARYLAND WAY BRENTWOOD, TN 37027 |
X |
/s/ Adam Holland, Attorney In Fact for Robert E. Alderson | 03/05/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | These options became exercisable as to 33.33% of such shares on July 25, 2009 and as to 8.33% of such shares at the end of the next eight calendar quarters. |
(2) | These options became exercisable as to 50% of such shares on June 8, 2010 and as to 12.5% of such shares at the end of the next four calendar quarters. |
(3) | These options became exercisable as to 33.33% of such shares on May 09, 2007 and as to 8.33% of such shares at the end of the next eight calendar quarters. |
(4) | These options became exercisable as to 25% of such shares on June 8, 2011 and as to 6.25% per quarter for the next three years. |
(5) | These options became exercisable as to 25% of such shares on June 1, 2012 and as to 6.25% per quarter for the next three years. Vesting of the unvested options was accelerated upon the reporting person's retirement. |
(6) | These options became exercisable as to 25% of such shares on May 30, 2013 and as to 6.25% per quarter for the next three years. Vesting of the unvested options was accelerated upon the reporting person's retirement. |
(7) | These options became exercisable as to 25% of such shares on June 4, 2014 and as to 6.25% per quarter for the next three years. Vesting of the unvested options was accelerated upon the reporting person's retirement. |
(8) | These options became exercisable as to 25% of such shares on June 12, 2015 and as to 6.25% per quarter for the next three years. Vesting of the unvested options was accelerated upon the reporting person's retirement. |