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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (5) | 02/12/2014 | A | 119,318 | (5) | (5) | Common Stock | 119,318 | $ 0 | 119,318 | D | ||||
Option (Right to Buy) (6) | $ 52.11 | 02/12/2014 | A | 302,200 | (7) | 02/11/2021 | Common Stock | 302,200 | $ 0 | 302,200 | D | ||||
Option (Right to Buy) (6) | $ 27.095 | 02/12/2014 | M | 164,609 | (8) | 02/15/2015 | Common Stock | 164,609 | $ 0 | 0 | D | ||||
Option (Right to Buy) (6) | $ 31.625 | 02/12/2014 | M | 235,391 | (9) | 02/03/2017 | Common Stock | 235,391 | $ 0 | 76,703 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GOLDNER BRIAN C/O HASBRO INC 1027 NEWPORT AVENUE PAWTUCKET, RI 02861 |
X | President & CEO |
Tarrant Sibley, P/O/A for Brian Goldner | 02/14/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.90 to $52.35, inclusive. The reporting person undertakes to provide to Hasbro, Inc., any security holder of Hasbro, Inc. or the staff of the ranges set forth in this footnote (1). |
(2) | This transaction involved a gift of securities by the Reporting Person to the Brian D. Goldner Trust. |
(3) | Share total has been updated to reflect shares acquired pursuant to dividend reinvestment plan. |
(4) | Mr. Goldner disclaims beneficial ownership of all of these shares except to the extent of his proportionate pecuniary interest therein. |
(5) | Each restricted stock unit represents a contingent right to earn one share of Hasbro common stock. The grant has two vesting components, each of which must be satisfied for Mr. Goldner to earn any shares under the award. The first vesting compenent is based on achievement of specified Hasbro common stock price thresholds (25% earned at $45/share; 25% earned at $52/share; 25% earned at $56/share; 25% earned at $60/share). To achieve the stock price thresholds the average closing sales price for Hasbro's common stock must trade at or above the threshold price for at least 30 consecutive trading days after April 24, 2013. To second vesting component requires that, subject to certain termination scenarios set forth in Mr. Goldner's Employment Agreement with the Company, Mr. Goldner remains continuously employed with the Company through December 31, 2017. |
(6) | These options were granted pursuant to an employee stock option plan in compliance with Rule 16b-3 and have tandem tax withholding rights. |
(7) | 33 1/3% of the options become exercisable on the first anniversary of the date of grant and an additional 33 1/3% of the options become exercisable on each anniversary of the date of grant thereafter. |
(8) | 33 1/3% of the options became exercisable on February 13, 2009, February 13, 2010 and February 13, 2011. |
(9) | 33 1/3% of the options became exercisable on February 4, 2011, February 4, 2012 and February 4, 2013. |