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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCCARVEL JOHN P C/O CROCS, INC. 6328 MONARCH PARK PLACE NIWOT, CO 80503 |
X | Chief Executive Officer |
/s/ Jason Day, Attorney-in-Fact | 06/30/2011 | |
**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) | Represents 78,337 restricted stock units granted to the reporting person under the issuer's 2007 Equity Incentive Plan (As Amended and Restated). Each restricted stock unit represents the contingent right to recieve one share of the issuer's common stock. The restricted stock units vest as follows: (i) one-third of the restricted stock units vest in three equal annual installments on June 15, 2012, June 15, 2013 and June 15, 2014, provided that the reporting person remains employed by the issuer as of each vesting date, and (ii) up to two-thirds of the restricted stock units vest in two equal annual installments on the date in 2013 that the issuer's compensation committee certifies that certain performance metrics are acheived and one year from that date, respectively, provided that the reporting person remains employed by the issuer as of each vesting date. |
(2) | Represents 38,986 restricted stock units granted to the reporting person under the issuer's 2007 Equity Incentive Plan (As Amended and Restated). Each restricted stock unit represents the contingent right to recieve one share of the issuer's common stock. The restricted stock units vest in three equal annual installments on June 29, 2012, June 29, 2013 and June 29, 2014. |