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)
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2. Issuer Name and Ticker or Trading Symbol
LUBYS INC [ LUB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/05/2012 | ||||||||||||||||||||||||||
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 | ||||||
Restricted Stock | 11/05/2012 | J | 1,212(1) | D | $0 | 25,918 | 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 | ||||||||
Non Qualified Stock Option (Right to Buy) | $1.98 | 01/31/2004(2) | 01/31/2013 | Common Stock | 4,000(3) | 4,000 | D | ||||||||
Non Qualified Stock Option (Right to Buy) | $4.47 | 02/26/2005(4) | 02/26/2014 | Common Stock | 2,000(3) | 2,000 | D | ||||||||
Restricted Stock Unit | (5) | (6) | (6) | Common Stock | 5,000(3) | 5,000 | D | ||||||||
Restricted Stock Unit | (5) | (7) | (7) | Common Stock | 2,000(3) | 2,000 | D | ||||||||
Restricted Stock Unit | (5) | (8) | (8) | Common Stock | 3,500(3) | 3,500 | D | ||||||||
Non Qualified Stock Option (Right to Buy) | $6.45 | 01/20/2006(9) | 01/20/2015 | Common Stock | 2,000(3) | 2,000 | D |
Explanation of Responses: |
1. The grants made on April 1, 2012 and July 1, 2012 have been rescinded and the full amount of non-employee director quarterly retainer was paid in cash. |
2. These stock options vest ratably over four years and become fully exercisable on January 31, 2007. |
3. These shares previously reported in Table 1. |
4. These stock options vest ratably over four years and become fully exercisable on February 26, 2008. |
5. Each restricted stock unit represents a conditional right to receive one share of the Company's Common Stock. |
6. The restricted stock units vest on November 17, 2014 or as subject to the terms of the Award Agreement. |
7. The restricted stock units vest on November 19, 2012 or as subject to the terms of the Award Agreement. |
8. The restricted stock units vest on November 18, 2013 or as subject to the terms of the Award Agreement. |
9. These stock options vest ratably over four years and become fully exercisable on January 20, 2009. |
/s/ Jill Griffin | 11/07/2012 | |
** 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. |