FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/30/2014 |
3. Issuer Name and Ticker or Trading Symbol
RUBY TUESDAY INC [ RT ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 10/09/2014 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
$0.01 Par Common | 21,372(1)(2) | D | |
$0.01 Par Common | 5,420(3) | D | |
$0.01 Par Common | 12,690(4) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | 07/24/2014(5) | 07/24/2020 | $0.01 Par Common | 22,856 | $9.34 | D | |
Stock Option (Right to Buy) | 07/24/2013(6) | 07/24/2020 | $0.01 Par Common | 40,000 | $9.34 | D | |
Stock Option (Right to Buy) | 08/04/2015(7) | 08/04/2021 | $0.01 Par Common | 33,186 | $5.91 | D |
Explanation of Responses: |
1. These shares of service-based restricted stock will vest in one-third increments per year over a three-year period and are further subject to a six-month holding period. |
2. These shares were previously reported as 23,987 due to an administrative error. 2,615 shares were sold in July, 2014, prior to filing the original Form 3, to cover taxes arising from a vesting of a portion of the shares. Accordingly, this amendment adjusts the shares to account for that sale. |
3. These shares of service-based restricted stock will cliff vest on January 24, 2016 and are further subject to a six-month holding period. |
4. These shares of service-based restricted stock will cliff vest on February 4, 2017 and are further subject to a six-month holding period. |
5. The option vests in three annual installments beginning on July 24, 2014. |
6. The option shares shall vest in the event a share of Common Stock appreciates to $14 per share (or more) for a period of 20 consecutive trading days on or before December 3, 2015. |
7. The option vests in three annual installments beginning on August 4, 2015. |
Remarks: |
Rhonda Parish, Attorney-in-Fact | 07/15/2015 | |
** 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 5 (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. |