SEC Form 5
FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL 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).
  
Form 3 Holdings Reported.
X
Form 4 Transactions Reported.
1. Name and Address of Reporting Person*
Day Stephen L

(Last) (First) (Middle)
525 GREAT RD

(Street)
LITTLETON MA 01460

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
DOVER SADDLERY INC [ DOVR ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
CEO, President & Treasurer
3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
12/31/2013
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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 at end of Issuer's Fiscal Year (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Amount (A) or (D) Price
Common Stock 614,744(1) D
Common Stock 08/05/2013(2) 08/05/2013 P4 10,576 A $1.36 614,744(1) D
Common Stock 11/20/2013(2) 11/20/2013 P4 2,644 A $1.36 614,744(1) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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)
(A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Non-Qualified Stock Option $4.5 (3) 11/13/2017 Common Stock 3,500 20,440(4) D
Non-Qualified Stock Option $1.24 (5) 11/20/2018 Common Stock 2,940 20,440(6) D
Incentive Stock Option $3.41 (7) 11/16/2015 Common Stock 15,725 62,900(8) D
Non-Qualified Stock Option $3.1 (7) 11/16/2020 Common Stock 3,500 20,440(9) D
Incentive Stock Option $3.65 (10) 11/27/2016 Common Stock 15,725 62,900(11) D
Non-Qualified Stock Option $3.32 (10) 11/27/2021 Common Stock 3,500 20,440(12) D
Incentive Stock Option $3.95 (13) 11/15/2017 Common Stock 15,725 62,900(14) D
Non-Qualified Stock Option $3.59 (13) 11/15/2022 Common Stock 3,500 20,440(15) D
Non-Qualified Stock Option $4.9 11/20/2013(2) 4A 3,500 (16) 11/19/2023 Common Stock 3,500 (17) 62,900(18) D
Incentive Stock Option $5.39 11/20/2013(2) 4A 15,725 (16) 11/19/2018 Common Stock 15,725 (19) 20,440(20) D
Incentive Stock Option $1.36 08/05/2013(2) 08/05/2013 4A 10,576 (21) 11/20/2013 Common Stock 10,576 (22) 62,900(23) D
Incentive Stock Option $1.36 11/20/2013(2) 11/20/2013 4A 2,644 (21) 11/20/2013 Common Stock 2,644 (22) 62,900(23) D
Explanation of Responses:
1. As of 12/31/2013.
2. This transaction has been previously reported on a Form 4 filed in a timely manner.
3. Granted on 11/14/2007 and vest on anniversary date of grant at rate 20% per year for five years.
4. 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.
5. Granted on 11/21/2008 and vest on anniversary date of grant at rate 20% per year for five years.
6. 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.
7. Granted on 11/17/2010 and vest on anniversary date of grant at rate 20% per year for five years.
8. 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.
9. 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.
10. Granted on 11/28/2011 and vest on anniversary date of grant at rate 20% per year for five years.
11. 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.
12. 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.
13. Granted on 11/16/2012 and vest on anniversary date of grant at rate 20% per year for five years.
14. 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.
15. 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.
16. Granted on 11/20/2013 and vest on anniversary date of grant at rate 20% per year for five years.
17. When exercisable price will be $4.90.
18. 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.
19. When exercisable price will be $5.39.
20. 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.
21. Granted on 11/21/2008 and vest on anniversary date of grant at rate 20% per year for five years.
22. Price at time of exercise was $1.36.
23. 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.
Remarks:
All transactions reported on this Form 5 have been previously reported on Forms 3 and 4 in a timely manner.
/s/ Stephen L. Day 02/14/2014
** 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).
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