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Share Name | Share Symbol | Market | Type |
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Prospect Capital Corporaton | NYSE:PBY | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
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0.00 | 0.00% | 25.00 | 0 | 01:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
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Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
SOOD SANJAY |
2. Issuer Name
and
Ticker or Trading Symbol
PEP BOYS MANNY MOE & JACK [ PBY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) VP-Controller (Chief Acct Off) |
3111 W. ALLEGHENY AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
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PHILADELPHIA, PA 19132 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. 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 |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 6049 (1) | D | ||||||||
Common Stock | 9606 | 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. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying Derivative Security
(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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (right to buy) | $12.3 | 3/29/2011 | A | 4067 | (2) | 3/29/2018 | Common Stock | 4067 | (3) | 4067 | D | ||||
ROIC Performance-Based Award | (3) | 3/29/2011 | A | 1763 | (4) | (3) | Common Stock | 2644.5 | (3) | 1763 | D | ||||
TSR Performance-Based Award | (3) | 3/29/2011 | A | 881 | (5) | (3) | Common Stock | 1541.75 | (3) | 881 | D |
Explanation of Responses: | |
( 1) | Represents the number of shares held in the Reporting Person's account under The Pep Boys Deferred Compensation Plan. |
( 2) | One third of such options will become exercisable on each of the first three anniversaries of the date of grant. |
( 3) | Not applicable. |
( 4) | Each ROIC Performance-Based Award will vest if the Issuer's return on invested capital for fiscal year 2013 is between 13.0% and 17.9% into between one-half and and one and one-half shares of common stock, respectively. Vested shares will be delivered on or about March 30, 2014. |
( 5) | Each TSR Performance-Based Award will vest if the Issuer's total shareholder return over the three-year period that includes the Isser's fiscal years 2011, 2012 and 2013 is between the 40th and 90th percentile of its customized executive compensation peer group into between one-half and and one and three-quarters shares of common stock, respectively. Vested shares will be delivered on or about March 30, 2014. |
Reporting Owners
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Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
SOOD SANJAY
3111 W. ALLEGHENY AVENUE PHILADELPHIA, PA 19132 |
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VP-Controller (Chief Acct Off) |
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Signatures
|
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Sanjay Sood | 3/30/2011 | |
** Signature of Reporting Person |
Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
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