| 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) 11/20/2012 |
3. Issuer Name and Ticker or Trading Symbol
MARINEMAX INC [ HZO ] |
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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 | 6,155(1) | D | |
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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 | ||||
| Employee Stock Option (Right to Buy) | (2) | 11/26/2018 | Common Stock | 2,917 | $2.99 | D | |
| Employee Stock Option (Right to Buy) | (3) | 12/08/2019 | Common Stock | 7,084 | $7 | D | |
| Employee Stock Option (Right to Buy) | (4) | 11/18/2020 | Common Stock | 11,667 | $7.54 | D | |
| Employee Stock Option (Right to Buy) | (5) | 11/18/2021 | Common Stock | 17,500 | $6.1 | D | |
| Performance Rights | (6) | 11/18/2013 | Common Stock | 7,546 | $0.00 | D | |
| Performance Rights | (7) | 11/18/2014 | Common Stock | 8,000 | $0.00 | D | |
| Explanation of Responses: |
| 1. Includes (a) 5,174 shares acquired pursuant to the Issuer's employee stock purchase plan, and (b) 981 restricted stock units granted on October 31, 2006, one third of which vested on October 31, 2009, October 31, 2010, and October 31, 2011. |
| 2. 1/36th of the total number of options granted vested and became exercisable on the 26th day of each month commencing on the date of grant, November 26, 2008. |
| 3. 1/36 of the options vest and become exercisable on a monthly basis for a three-year period beginning on the date of grant, December 8, 2009. |
| 4. 1/36 of the options vest and become exercisable on a monthly basis for a three-year period beginning on the date of grant, November 18, 2010. |
| 5. 1/36 of the options vest and become exercisable on a monthly basis for a three-year period beginning on the date of grant, November 18, 2011. |
| 6. Each performance right, granted November 18, 2010, represents a contingent right to receive one share of the Issuer's common stock. The performance rights vest based on achievement of certain target performance of the Issuer's stock price over an approximate three-year performance period. The number represents the maximum number of shares that may be delivered pursuant to the award. |
| 7. Each performance right, granted November 18, 2011, represents a contingent right to receive one share of the Issuer's common stock. The performance rights vest based on achievement of certain target performance of the Issuer's stock price over an approximate three-year performance period. The number represents the maximum number of shares that may be delivered pursuant to the award. |
| Remarks: |
| Kurt M. Frahn, Attorney-in-Fact | 11/21/2012 | |
| ** 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 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. | ||