SEC Form 3
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) 08/12/2015 |
3. Issuer Name and Ticker or Trading Symbol
CHARLES RIVER LABORATORIES INTERNATIONAL INC [ CRL ] |
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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) |
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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) |
Common Stock(1) | 4,511 | 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 Options (Right to Buy) | 05/01/2015(2) | 05/01/2021 | Common Stock | 20,597 | 51.45 | D | |
Stock Options (Right to Buy) | 02/27/2016(3) | 02/27/2020 | Common Stock | 8,631 | 76.67 | D |
Explanation of Responses: |
1. Consists of: (a) 365 shares of common stock; (b) 2,190 shares of restricted stock which vest as follows: 730 shares on 5/01/2016, 730 shares on 5/01/2017 and 730 shares on 5/01/2018; (c) 1,956 unvested restricted stock units (RSUs) which vest as follows: 489 on 2/27/2016, 489 on 2/27/2017, 489 on 2/27/2018 and 489 on 2/27/2019. Each RSU represents a contingent right to receive one share of common stock. |
2. 945 stock options have vested as of the reporting date. The remaining 19,652 outstanding stock options will vest as follows: 945 on 5/01/2016, 945 on 5/01/2017, and 17,762 on 5/01/2018. |
3. Stock options will vest as follows: 2,157 on 2/27/2016, 2,158 on 2/27/2017, 2,158 on 2/27/2018 and 2,158 on 2/27/2019. |
/s/ David R. Smith | 08/12/2015 | |
** 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. |