Initial Statement of Beneficial Ownership (3)
April 13 2020 - 1:00PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Goodweather Steven |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/4/2020
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3. Issuer Name and Ticker or Trading Symbol
LUBYS INC [LUB]
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(Last)
(First)
(Middle)
13111 NORTHWEST FREEWAY, SUITE 600 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Financial Officer / |
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(Street)
HOUSTON, TX 77040
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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 | 18868 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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) | 1/23/2018 (1) | 1/23/2025 | Common Stock | 11816.0 | $4.49 | D | |
| Employee Stock Option (Right to Buy) | 11/11/2018 (1) | 11/11/2025 | Common Stock | 7426.0 | $4.89 | D | |
| Employee Stock Option (Right to Buy) | 11/30/2019 (1) | 11/30/2026 | Common Stock | 8187.0 | $4.26 | D | |
| Employee Stock Option (Right to Buy) | 12/8/2020 (1) | 12/8/2027 | Common Stock | 13865.0 | $2.82 | D | |
| Restricted Stock Unit (2) | (3) | (3) | Common Stock | 5142.0 | $0.0 | D | |
| TSR Performance Award (4) | (4) | (4) | Common Stock | 9932.0 (4) | $0.0 | D | |
| Explanation of Responses: |
| (1) | These stock options vest as follows: 50% on the first anniversary of the grant date, 25% on the second anniversary of the grant date and 25% on the third anniversary of the grant date. |
| (2) | Each restricted stock unit represents a conditional right to receive one share of the Company's Common Stock. |
| (3) | The restricted stock units vest on December 8, 2020 or as subject to the terms of the Award Agreement. |
| (4) | These awards of long-term equity incentive compensation are to be settled in the form of grants of Common Stock at the end of the Company's fiscal 2020 based on the Company's relative total shareholder return performance over a three-year performance period. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Goodweather Steven
13111 NORTHWEST FREEWAY
SUITE 600
HOUSTON, TX 77040 |
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| Chief Financial Officer |
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Signatures
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| Steve Goodweather | | 4/13/2020 |
| **Signature of Reporting Person | Date |
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