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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 Rights | $ 62.99 | 05/23/2011 | A | 11,708 (1) (3) | (1) | 05/23/2018 | Common Stock | 11,708 (1) (3) | $ 0 | 11,708 (1) (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Carter William Harrison ADVANCE AUTO PARTS, INC 5008 AIRPORT RD ROANOKE, VA 24012 |
SVP, DIY & Comm Op Support |
/s/ Rachel E. Geiersbach, as Attorney-in-Fact for William H. Carter | 03/01/2012 | |
**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) | The reported amount of restricted stock and stock appreciation rights, collectively, represents the 75% portion of a target equity award that is subject to time vesting in three equal annual installments beginning one year from the grant date. The remaining 25% of the target equity award may vest on May 23, 2014, if the registrant achieves certain pre-determined financial performance targets, subject to certification by the registrant's Compensation Committee on March 1, 2014. In addition, if the registrant's financial performance exceeds the target levels, the reporting person may receive additional shares up to 150% of the target award. |
(2) | On May 25, 2011 the Reporting Person filed a Form 4 incorrectly reporting a grant of 1,385 shares of common stock when in fact 1,980 shares of common stock were granted. As of February 29, 2012 the amount of securities beneficially owned following all reported transactions is 2,662. |
(3) | On May 25, 2011 the Reporting Person filed a Form 4 incorrectly reporting a grant of 13,667 stock appreciation rights when in fact 11,708 stock appreciation rights were granted. |