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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 | (1) | 06/01/2016 | M | 362 | 06/01/2016(5) | (4) | Common Stock | 362 | $ 0 | 724 | D | ||||
Restricted Stock Units | (1) | 06/01/2016 | M | 1,064 | 06/01/2016(6) | (4) | Common Stock | 1,064 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BABSON STEPHEN E C/O COLUMBIA SPORTSWEAR COMPANY 14375 NW SCIENCE PARK DRIVE PORTLAND, OR 97229 |
X |
Peter J. Bragdon, Attorney-in-Fact | 06/03/2016 | |
**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) | Each restricted stock unit represents a right to receive one share of COLM common stock. |
(2) | Includes 4,500 shares held by Babson Capital Partners, LP, for which Mr. Babson is general partner. |
(3) | Includes 11,00 shares held by the Jean McCall Babson Trust, for which Mr. Babson is trustee and whose beneficiares include members of Mr. Babson's family. |
(4) | N/A |
(5) | On 5/19/15 the reporting person was granted 1,086 restricted stock units, 33% of the restricted stock units vest annually (a) on the first anniverary of the first day of the first full calendar month following the award date (the "Vest Date"), and (b) on each of the two subsequent anniversaries following the first anniversary of the Vest Date. One share of Common Stock will be automatically delivered to the reporting person for each restricted stock unit that vests. If a vesting date falls on a weekend or any other day on which the Nasdaq Stock Market ("NSM") or any national securities exchange on which the Common Stock then is principally traded (the "Exchange") is not open, affected RSUs shall vest on the next following NSM or Exchange business day, as the case may be. |
(6) | On 5/19/15 the reporting person was granted 1,064 restricted stock units, 100% of the restricted stock units vest on the first anniverary of the first day of the first full calendar month following the award date (the "Vest Date"). One share of Common Stock will be automatically delivered to the reporting person for each restricted stock unit that vests. If a vesting date falls on a weekend or any other day on which the Nasdaq Stock Market ("NSM") or any national securities exchange on which the Common Stock then is principally traded (the "Exchange") is not open, affected RSUs shall vest on the next following NSM or Exchange business day, as the case may be. |