-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, V3W5h3cjTMnC3Y1S6UyDju/NmF4ZPk/vj0KlFswFDS1WBASN2EllUnkJq0JmaAIP R+qKUAXNRNqhhxudZPCSag== 0000898173-99-000026.txt : 19990913 0000898173-99-000026.hdr.sgml : 19990913 ACCESSION NUMBER: 0000898173-99-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990831 FILED AS OF DATE: 19990910 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: O REILLY AUTOMOTIVE INC CENTRAL INDEX KEY: 0000898173 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-AUTO & HOME SUPPLY STORES [5531] IRS NUMBER: 440618012 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-21318 FILM NUMBER: 99708980 BUSINESS ADDRESS: STREET 1: 233 S PATTERSON CITY: SPRINGFIELD STATE: MO ZIP: 65802 BUSINESS PHONE: 4178622674 MAIL ADDRESS: STREET 1: 233 SOUTH PATTERSON CITY: SPRINGFIELD STATE: MO ZIP: 65802 COMPANY DATA: COMPANY CONFORMED NAME: BATTEN JAMES R CENTRAL INDEX KEY: 0001041166 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-AUTO & HOME SUPPLY STORES [5531] OFFICER STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 233 S PATTERSON CITY: SPRINGFIELD STATE: MO ZIP: 65802 BUSINESS PHONE: 4178626708 MAIL ADDRESS: STREET 1: 233 SOUTH PATTERSON CITY: SPRINGFIELD STATE: MO ZIP: 65802 4 1 FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 OMB APPROVAL OMB Number: 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response: .5 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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(f) of the Investment Company Act of 1940 [ ] Check here 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* Last, First, Middle: Batten, James R. Street: 233 South Patterson City, State, Zip: Springfield, MO 65802 2. Issuer Name and Ticker or Trading Symbol: O'Reilly Automotive, Inc. (ORLY) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year: August 31, 1999 5. If Amendment, date of original, month/year: 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X ] Officer (give title below) [ ] Other(specify below) Officer Title: Vice-president of Finance/Chief Financial Officer 7. Individual or Joint/Group Filing (Check Applicable Line) [X ] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person * If the form is filed by more than one reporting person, see Instruction 4(b)(v). TABLE I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
4. Securities Acquired (A) 5. 6. 3. Disposed of (D) Amount of Ownership 7. Transaction (Instr. 3, 4 and 5) Securities Form: Nature of 2. Code ---------------------------- Beneficially Direct (D) Indirect 1. Transaction (Instr. 8) (A) Owned at or Indirect Beneficial Title of Security Date ------------- Amount or Price End of Month (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) (Instr. 3 and 4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 939 I 401(k) plan - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock $45.907 173 I Held in escrow under Performance Incentive Plan-1998 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock **$27.813 131 I Held in escrow under Performance Incentive Plan-1997 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock **$16.438 52 I Held in escrow under Performance Incentive Plan-1996 - ------------------------------------------------------------------------------------------------------------------------------------ ** Performance Incentive Plan awards relate to fiscal years 1997 and 1996, but are held in escrow and will not be released until 1999 and 2000. The price of each respective award relates to the average stock price for each fiscal year award date.
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (over) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ------------------------------------------------------------------------------------------------------------------------------------ 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. Title of Conver- Trans- Trans- Number of Date Title and Amount Price Number Owner- Nature Derivative sion or action action Derivative Exercisable and of Underlying of of deriv- ship of Security Exer- Date Code Securities Expiration Securities Deriv- ative Form of Indirect (Instr. 3) cise (Instr. Acquired (A) Date (Instr. 3 and 4) ative Secur- Deriv- Benefi- Price (Month/ 8) or Disposed ---------------- Secur- ities ative cial of Day/ of (D) (Month/Day/Year) Title Amount ity Bene- Security: Owner- Deriv- Year) (Instr. 3, or (Instr. ficially Direct ship ative 4, and 5) Date Expira- Number 5) Owned (D) or (Instr.4) Secur- -------- ------------- Exer- tion of at End Indirect ity Code V (A) (D) cisable Date Shares of Month (I) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Employee stock options with tandem with- holding Common right $23.75 10/06/98*10/06/02 Stock 35,000 35,000 D (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ Employee stock options with tandem with- holding right (right to Common buy) $24.50 12/01/98*12/01/02 Stock 15,000 15,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee stock options with tandem with- holding Common right $42.625 08/05/00*08/05/09 Stock 10,000 10,000 D (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: All share ending balances have been adjusted to reflect a 100% stock dividend in the form of a stock split. Payment date on the dividend was August 31, 1997. *The derivative securities disclosed in Table II above are 25% exercisable 1 year after grant; 50% exercisable 2 years after grant; 75% exercisable 3 years after grant; and 100% exercisable 4 years after grant. /s/ James R. Batten 9/10/99 - ----------------------------------------------------------- **Signature of Reporting Person Date ** 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 provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. -----END PRIVACY-ENHANCED MESSAGE-----