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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 | ||||||||
Stock Appreciation Right | $ 73.17 | 12/03/2012 | A | 8,175 (2) (4) | (2) | 12/03/2019 | Common Stock | 8,175 (4) | $ 0 | 8,175 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Schumacher Kurt R ADVANCE AUTO PARTS, INC. 5008 AIRPORT RD ROANOKE, VA 24012 |
SVP, National Field Operations |
/s/ Rachel E. Geiersbach, as Attorney-in-Fact for Kurt R. Schumacher | 12/19/2012 | |
**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 shares withheld to satisfy a tax withholding obligation upon the vesting of restricted stock. |
(2) | The reported amount of restricted stock units (RSUs) and stock appreciation rights (SARs), collectively, represents the 50% portion of a target equity award that is subject to time vesting in three approximately equal annual installments beginning one year from the grant date. The remaining 50% of the target equity award may vest on March 1, 2016, if the registrant achieves certain pre-determined financial performance targets, subject to certification by the registrant's Compensation Committee. In addition, if the registrant's financial performance exceeds the target levels, the reporting person may receive additional RSUs and SARs up to a maximum of an additional 100% of the target award level. |
(3) | On December 5, 2012 the Reporting Person filed a Form 4 incorrectly reporting a grant of 641 RSUs when in fact 715 RSUs were granted. As of December 19, 2012 the amount of securities beneficially owned following all reported transactions is 8,697. |
(4) | On December 5, 2012 the Reporting Person filed a Form 4 incorrectly reporting a grant of 7,329 SARs when in fact 8,175 SARs were granted. |