-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ShBd+4om5mxUfatT9DeQuuyhG2sB8e5LRHCQkFGEslfYwx6W26uzkWj+EtRCEjxO H0jfDH+wbC4nqQAFt9EyFA== 0000898173-01-000006.txt : 20010212 0000898173-01-000006.hdr.sgml : 20010212 ACCESSION NUMBER: 0000898173-01-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010131 FILED AS OF DATE: 20010209 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: O REILLY AUTOMOTIVE INC CENTRAL INDEX KEY: 0000898173 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-AUTO & HOME SUPPLY STORES [5531] IRS NUMBER: 440618012 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-21318 FILM NUMBER: 1529837 BUSINESS ADDRESS: STREET 1: 233 S PATTERSON CITY: SPRINGFIELD STATE: MO ZIP: 65802 BUSINESS PHONE: 4178622674 MAIL ADDRESS: STREET 1: 233 SOUTH PATTERSON CITY: SPRINGFIELD STATE: MO ZIP: 65802 COMPANY DATA: COMPANY CONFORMED NAME: BATTEN JAMES R CENTRAL INDEX KEY: 0001041166 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-AUTO & HOME SUPPLY STORES [5531] OFFICER STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 233 S PATTERSON CITY: SPRINGFIELD STATE: MO ZIP: 65802 BUSINESS PHONE: 4178626708 MAIL ADDRESS: STREET 1: 233 SOUTH PATTERSON CITY: SPRINGFIELD STATE: MO ZIP: 65802 4 1 0001.txt FORM 4 JAMES R. BATTEN 01/31/01 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check 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* Batten James R. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 233 S. Patterson Ave. - -------------------------------------------------------------------------------- (Street) Springfield MO 65802 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol O'Reilly Automotive, Inc. (ORLY) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ###-##-#### ________________________________________________________________________________ 4. Statement for Month/Year January 31, 2001 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [_] 10% Owner [X] Officer (give title below) [_] Other (specify below) Vice President Finance/Chief Financial Officer ________________________________________________________________________________ 7. 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 ================================================================================
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship 3. Disposed of (D) Beneficially Form: 7. Transaction (Instr. 3, 4 and 5) Owned at End Direct Nature of 2. Code ----------------------------- of Issuer's (D) or Indirect 1. Transaction (Instr. 8) (A) Fiscal Year Indirect Beneficial Title of Security Date ----------- Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 01/18/01 J 421 A Various 1,061(1) D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 2,608 I 401(k)Plan - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 01/18/01 J 132 D $13.91 0(2) I Held in escrow under Per- formance Incentive Plan-1997 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 01/18/01 J 116 D $22.95 114(3) I Held in escrow under Per- formance Incentive Plan-1998 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 01/18/01 J 173 D $12.84 346(4) I Held in escrow under Per- formance Incentive Plan-1999 - ------------------------------------------------------------------------------------------------------------------------------------ - ---------- (1) Direct ownership increased by 421 shares that were released in January 2001 from the 1997, 1998 and 1999 Performance Incentive Plans Escrow. (2) Final release of shares held in escrow for 1997 Performance Incentive Plan took place in January 2001. These shares are now reflected in direct ownership (see footnote 1). (3) The 1998 Performance Incentive Plan award relates to fiscal year 1998, but shares are held in escrow and will not be released until 2002. Shares released in January 2001 that pertained to the 1998 Performance Incentive Plan are now reflected in direct ownership (see footnote 1). (4) The 1999 Performance Incentive Plan award relates to fiscal year 1999, but shares are held in escrow and will not be released until 2002 and 2003. Shares released in January 2001 that pertained to the 1999 Performance Incentive Plan are now reflected in direct ownership (see footnote 1). ====================================================================================================================================
* If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) (Form 4-07/99) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- Securities Date Securities Price Bene- ity: In- cise 3. Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- 4. or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Trans- of (D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date action (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ Code 4 and 5) Date Expira- Number ity Year (I) ship Security Secur- Day/ (Instr. ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Employee stock options with tandem withholding right Common (right to buy) $21.3125 8/5/00(1) 8/4/09 Stock 20,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee stock options with tandem withholding right Common (right to buy) $11.875 10/6/98(1) 10/5/02 Stock 42,500 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee stock options with tandem withholding right Common (right to buy) $12.25 12/1/98(1) 12/1/07 Stock 30,000 D - ------------------------------------------------------------------------------------------------------------------------------------ - ---------- (1) The derivative securities disclosed in Table II above are 25% exercisable 1 year after grant; 50% exercisable 2 years after grant; 75% exercisable 3 years after grant; and 100% exercisable 4 years after grant. ====================================================================================================================================
Explanation of Responses: All share ending balances have been adjusted to reflect 100% stock dividends in the form of two stock splits: July 31, 1997 and November 15, 1999. Payment dates on the dividends were August 31, 1997 and November 30, 1999, respectively. /s/James R. Batten 02/09/01 - --------------------------------------------- ----------------------- James R. Batten Date ** 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 provided is insufficient, see Instruction 6 for procedure. Page 2 EDGARLink 7.0 (8/00) Ver. 3.1 -----END PRIVACY-ENHANCED MESSAGE-----