SEC Form 4
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)
| 2. Issuer Name and Ticker or Trading Symbol ARCTIC CAT INC [ ACAT ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 12/05/2016 | ||||||||||||||||||||||||||
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 | ||||||
Common Stock | 12/05/2016 | F | 7,806 | D | $15.18 | 82,497(1) | 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 | ||||||||
Stock Appreciation Right | $14.16 | (2) | 02/05/2021 | Common Stock | 175,000 | 175,000 | D | ||||||||
Stock Option (Right to Buy) | $32.93 | (3) | 12/03/2024 | Common Stock | 67,259 | 67,259 | D | ||||||||
Stock Option (Right to Buy) | $32.93 | (4) | 12/03/2024 | Common Stock | 151,837 | 151,837 | D | ||||||||
Stock Option (Right to Buy) | $16.74 | (5) | 04/01/2026 | Common Stock | 156,810 | 156,810 | D |
Explanation of Responses: |
1. Includes (i) 23,234 restricted stock units that vest on 12/3/17; and (ii) 20,908 restricted stock units that vest as to 6,969 shares on 4/1/17, 6,970 shares on 4/1/18 and 6,969 shares on 4/1/19. |
2. Vests as to 58,333 shares on 2/5/17, 58,334 shares on 2/5/18, and 58,333 shares on 2/5/19. The vested portion of the stock appreciation rights will settle in cash on such vesting dates. |
3. Vests as to 22,419 shares on 12/3/15, 22,420 shares on 12/3/16, and 22,420 shares on 12/3/17. |
4. Vests as to 50,612 shares on 12/3/15, 50,612 shares on 12/3/16, and 50,613 shares on 12/3/17. |
5. Vests as to 52,270 shares on each of 4/1/17, 4/1/18 and 4/1/19. |
Remarks: |
/s/ John R. Houston as Attorney-in-Fact for Christopher T. Metz pursuant to Power of Attorney previously filed. | 12/07/2016 | |
** 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. |