FORM 4 |
UNITED 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 |
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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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
MONRO MUFFLER BRAKE INC [ MNRO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/16/2016 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
HOLDINGS | 189,523 | D | ||||||||
Common Stock | 11/16/2016 | F | 11,160(1) | D | $58.05 | 178,363 | D | |||
Common Stock | 11/16/2016 | M | 11,250 | A | $15.39 | 189,613 | D | |||
Common Stock | 11/16/2016 | M | 9,000 | A | $18.05 | 198,613 | D | |||
Common Stock | 11/16/2016 | M | 8,000 | A | $39.03 | 206,613 | D | |||
Common Stock | 11/16/2016 | F | 8,813(2) | D | $58.05 | 197,800(3) | D | |||
Common Stock | 11/16/2016 | S | 600 | D | $58.5 | 197,200 | D | |||
Common Stock | 11/17/2016 | G | 1,750 | D | $57.95 | 195,450 | D | |||
Common Stock | 11/18/2016 | S | 8,450 | D | $58 | 187,000 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options (Right to buy) | $15.39 | 11/16/2016 | M | 2,812 | 05/17/2008 | 05/16/2017 | Common Stock | 2,812 | $0.00 | 8,438 | D | ||||
Options (Right to buy) | $15.39 | 11/16/2016 | M | 2,813 | 05/17/2009 | 05/16/2017 | Common Stock | 2,813 | $0.00 | 5,625 | D | ||||
Options (Right to buy) | $15.39 | 11/16/2016 | M | 2,812 | 05/17/2010 | 05/16/2017 | Common Stock | 2,812 | $0.00 | 2,813 | D | ||||
Options (Right to buy) | $15.39 | 11/16/2016 | M | 2,813 | 05/17/2011 | 05/16/2017 | Common Stock | 2,813 | $0.00 | 0 | D | ||||
Options (Right to buy) | $18.05 | 11/16/2016 | M | 2,250 | 05/20/2010 | 05/19/2019 | Common Stock | 2,250 | $0.00 | 6,750 | D | ||||
Options (Right to buy) | $18.05 | 11/16/2016 | M | 2,250 | 05/20/2011 | 05/19/2019 | Common Stock | 2,250 | $0.00 | 4,500 | D | ||||
Options (Right to buy) | $18.05 | 11/16/2016 | M | 2,250 | 05/20/2012 | 05/19/2019 | Common Stock | 2,250 | $0.00 | 2,250 | D | ||||
Options (Right to buy) | $18.05 | 11/16/2016 | M | 2,250 | 05/20/2013 | 05/19/2019 | Common Stock | 2,250 | $0.00 | 0 | D | ||||
Options (Right to buy) | $39.03 | 11/16/2016 | M | 2,000 | 05/15/2013 | 05/14/2018 | Common Stock | 2,000 | $0.00 | 6,000 | D | ||||
Options (Right to buy) | $39.03 | 11/16/2016 | M | 2,000 | 05/15/2014 | 05/14/2018 | Common Stock | 2,000 | $0.00 | 4,000 | D | ||||
Options (Right to buy) | $39.03 | 11/16/2016 | M | 2,000 | 05/15/2015 | 05/14/2018 | Common Stock | 2,000 | $0.00 | 2,000 | D | ||||
Options (Right to buy) | $39.03 | 11/16/2016 | M | 2,000 | 05/15/2016 | 05/14/2018 | Common Stock | 2,000 | $0.00 | 0 | D |
Explanation of Responses: |
1. As permitted pursuant to the terms of the 1998 Employee Incentive Stock Option Plan and the 2007 Stock Option Plan, the reporting person utilized her ownership of existing shares in order to exercise options to purchase 28,250 non-qualified stock options, which option exercises are being reported on Tables I and II. The shares were valued at the closing price, respectively, for the Issuer's stock on November 16, 2016, the dates on which the reporting person exercised the options. |
2. As permitted pursuant to the terms of the 1998 Employee Incentive Stock Option Plan and the 2007 Stock Option Plan, the reporting person satisfied any requisite taxes incurred as a result of the option exercises being reported on Tables I and II of this Form 4 by the Issuer withholding shares otherwise deliverable from the exercise of the options. |
3. The reporting person's holdings of Monro stock increased by 8,277 shares as a result of these transactions, which were completed for purposes of estate and tax planning. |
Remarks: |
/s/ Catherine D'Amico | 11/18/2016 | |
** 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 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. |