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5//SEC Filing

DOVER SADDLERY INC 5

Accession 0001209191-14-010751

CIK 0001071625operating
View on SEC.govCompany Profile

Filed

Feb 13, 7:00 PM ET

Accepted

Feb 14, 1:14 PM ET

Size

31.4 KB

Accession

0001209191-14-010751

Insider Transaction Report

Form 5
Period: 2013-12-31
DOVER SADDLERY INCDOVR
Day Stephen L
DirectorCEO, President & Treasurer10% Owner
Transactions
  • Purchase

    Common Stock

    2013-08-05$1.36/sh+10,576$14,383→ 614,744 total
  • Purchase

    Common Stock

    2013-11-20$1.36/sh+2,644$3,596→ 614,744 total
  • Award

    Non-Qualified Stock Option

    2013-11-20+3,500→ 62,900 total
    Exercise: $4.90Exp: 2023-11-19→ Common Stock (3,500 underlying)
  • Award

    Incentive Stock Option

    2013-11-20+15,725→ 20,440 total
    Exercise: $5.39Exp: 2018-11-19→ Common Stock (15,725 underlying)
  • Award

    Incentive Stock Option

    2013-08-05−10,576→ 62,900 total
    Exercise: $1.36Exp: 2013-11-20→ Common Stock (10,576 underlying)
  • Award

    Incentive Stock Option

    2013-11-20−2,644→ 62,900 total
    Exercise: $1.36Exp: 2013-11-20→ Common Stock (2,644 underlying)
Holdings

  • Common Stock

    614,744

  • Non-Qualified Stock Option

    Exercise: $4.50Exp: 2017-11-13→ Common Stock (3,500 underlying)
    20,440

  • Non-Qualified Stock Option

    Exercise: $1.24Exp: 2018-11-20→ Common Stock (2,940 underlying)
    20,440

  • Incentive Stock Option

    Exercise: $3.41Exp: 2015-11-16→ Common Stock (15,725 underlying)
    62,900

  • Non-Qualified Stock Option

    Exercise: $3.10Exp: 2020-11-16→ Common Stock (3,500 underlying)
    20,440

  • Incentive Stock Option

    Exercise: $3.65Exp: 2016-11-27→ Common Stock (15,725 underlying)
    62,900

  • Non-Qualified Stock Option

    Exercise: $3.32Exp: 2021-11-27→ Common Stock (3,500 underlying)
    20,440

  • Incentive Stock Option

    Exercise: $3.95Exp: 2017-11-15→ Common Stock (15,725 underlying)
    62,900

  • Non-Qualified Stock Option

    Exercise: $3.59Exp: 2022-11-15→ Common Stock (3,500 underlying)
    20,440
Footnotes (23)
  • [F1]As of 12/31/2013.
  • [F10]Granted on 11/28/2011 and vest on anniversary date of grant at rate 20% per year for five years.
  • [F11]As of 12/31/2013, total includes 15,725 Incentive Stock Options granted in 2011. Together with Non-Qualfied Stock Options, the total stock options held by this reporting person as of 12/31/2013 equals 83,340.
  • [F12]As of 12/31/2013, total includes 3,500 Non-Qualified Stock Options granted in 2011. Together with Incentive Stock Options, the total stock options held by this reporting person as of 12/31/2013 equals 83,340.
  • [F13]Granted on 11/16/2012 and vest on anniversary date of grant at rate 20% per year for five years.
  • [F14]As of 12/31/2013, total includes 15,725 Incentive Stock Options granted in 2012. Together with Non-Qualfied Stock Options, the total stock options held by this reporting person as of 12/31/2013 equals 83,340.
  • [F15]As of 12/31/2013, total includes 3,500 Non-Qualified Stock Options granted in 2012. Together with Incentive Stock Options, the total stock options held by this reporting person as of 12/31/2013 equals 83,340.
  • [F16]Granted on 11/20/2013 and vest on anniversary date of grant at rate 20% per year for five years.
  • [F17]When exercisable price will be $4.90.
  • [F18]As of 12/31/2013, total includes 3,500 Non-Qualified Stock Options granted in 2013. Together with Incentive Stock Options, the total stock options held by this reporting person as of 12/31/2013 equals 83,340.
  • [F19]When exercisable price will be $5.39.
  • [F2]This transaction has been previously reported on a Form 4 filed in a timely manner.
  • [F20]As of 12/31/2013, total includes 15,725 Incentive Stock Options granted in 2013. Together with Non-Qualfied Stock Options, the total stock options held by this reporting person as of 12/31/2013 equals 83,340.
  • [F21]Granted on 11/21/2008 and vest on anniversary date of grant at rate 20% per year for five years.
  • [F22]Price at time of exercise was $1.36.
  • [F23]Total of Incentive Stock Options as of 12/31/2013. Together with Non-Qualified Stock Options, the total stock options held by this reporting person as of 12/31/2013 equals 83,340.
  • [F3]Granted on 11/14/2007 and vest on anniversary date of grant at rate 20% per year for five years.
  • [F4]As of 12/31/2013, total includes 3,500 Non-Qualified Stock Options granted in 2007. Together with Incentive Stock Options, the total stock options held by this reporting person as of 12/31/2013 equals 83,340.
  • [F5]Granted on 11/21/2008 and vest on anniversary date of grant at rate 20% per year for five years.
  • [F6]As of 12/31/2013, total includes 2,940 Non-Qualified Stock Options granted in 2008. Together with Incentive Stock Options, the total stock options held by this reporting person as of 12/31/2013 equals 83,340.
  • [F7]Granted on 11/17/2010 and vest on anniversary date of grant at rate 20% per year for five years.
  • [F8]As of 12/31/2013, total includes 15,725 Incentive Stock Options granted in 2010. Together with Non-Qualfied Stock Options, the total stock options held by this reporting person as of 12/31/2013 equals 83,340.
  • [F9]As of 12/31/2013, total includes 3,500 Non-Qualified Stock Options granted in 2010. Together with Incentive Stock Options, the total stock options held by this reporting person as of 12/31/2013 equals 83,340.

Documents

1 file

Issuer

DOVER SADDLERY INC

CIK 0001071625

→
Entity typeoperating

Related Parties

1
  • filerCIK 0001071625

Filing Metadata

Form type
5
Filed
Feb 13, 7:00 PM ET
Accepted
Feb 14, 1:14 PM ET
Size
31.4 KB
View on SEC.gov