SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Lucas Steven John

(Last) (First) (Middle)
5995 SEPULVEDA BLVD
SUITE 300

(Street)
CULVER CITY CA 90230

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
READING INTERNATIONAL INC [ RDI ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP, Controller & CAO
3. Date of Earliest Transaction (Month/Day/Year)
03/23/2017
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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
Class A Non-Voting Common Stock 04/11/2017 M 176 A (1) 176 D
Class A Non-Voting Common Stock 03/23/2018 M 138 A (1) 314 D
Class A Non-Voting Common Stock 04/11/2018 M 176 A (1) 490 D
Class A Non-Voting Common Stock 03/23/2019 M 139 A (1) 629 D
Class A Non-Voting Common Stock 04/11/2019 M 176 A (1) 805 D
Class A Non-Voting Common Stock 04/12/2019 M 135 A (1) 940 D
Class A Non-Voting Common Stock 03/13/2020 M 582 A (1) 1,522 D
Class A Non-Voting Common Stock 03/23/2020 M 138 A (1) 1,660 D
Class A Non-Voting Common Stock 04/11/2020 M 176 A (1) 1,836 D
Class A Non-Voting Common Stock 04/12/2020 M 135 A (1) 1,971 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: 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
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 03/23/2017 A 553 (2) (2) Class A Non-Voting Common Stock 553 $0 553 D
Stock Options; Rights to Buy; Class A Non-Voting Common Stoc $15.97 03/23/2017 A 2,555 (3) 03/22/2022 Class A Non-Voting Common Stock 2,555 $0 2,555 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 04/11/2017 M 176 (4) (4) Class A Non-Voting Common Stock 176 $0 528 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 03/23/2018 M 138 (2) (2) Class A Non-Voting Common Stock 138 $0 415 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 04/11/2018 M 176 (4) (4) Class A Non-Voting Common Stock 176 $0 352 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 04/12/2018 A 538 (5) (5) Class A Non-Voting Common Stock 538 $0 538 D
Stock Options; Rights to Buy; Class A Non-Voting Common Stoc $16.44 04/12/2018 A 2,320 (6) 04/11/2023 Class A Non-Voting Common Stock 2,320 $0 2,320 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 03/13/2019 A 2,328 (7) (7) Class A Non-Voting Common Stock 2,328 $0 2,328 D
Stock Options; Rights to Buy; Class A Non-Voting Common Stoc $16.11 03/13/2019 A 10,714 (8) 03/13/2024 Class A Non-Voting Common Stock 10,714 $0 10,714 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 03/23/2019 M 139 (2) (2) Class A Non-Voting Common Stock 139 $0 276 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 04/11/2019 M 176 (4) (4) Class A Non-Voting Common Stock 176 $0 176 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 04/12/2019 M 135 (5) (5) Class A Non-Voting Common Stock 135 $0 403 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 03/10/2020 A 9,651 (9) (9) Class A Non-Voting Common Stock 9,651 $0 9,651 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 03/13/2020 M 582 (7) (7) Class A Non-Voting Common Stock 582 $0 1,746 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 03/23/2020 M 138 (2) (2) Class A Non-Voting Common Stock 138 $0 138 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 04/11/2020 M 176 (4) (4) Class A Non-Voting Common Stock 176 $0 0 D
Restricted Stock Units (Class A Non-Voting Common Stock) (1) 04/12/2020 M 135 (5) (5) Class A Non-Voting Common Stock 135 $0 268 D
Explanation of Responses:
1. Each Restricted Stock Unit represents the contingent right to receive one share of Class A Non-Voting Common Stock upon vesting of the unit.
2. 553 restricted stock units granted on March 23, 2017 pursuant to the Company's 2010 Stock Incentive Plan, vesting in four equal annual installments commencing on the first anniversary of the Date of Grant. The installments vest on March 23, 2018, March 23, 2019, March 23, 2020, and March 23, 2021.
3. 2,555 stock options granted on March 23,2017 pursuant to the Company's 2010 Stock Incentive Plan, vesting in four equal annual installments commencing on the first anniversary of the Date of Grant. The installments are exercisable on March 23, 2018, March 23, 2019, March 23, 2020, and March 23, 2021.
4. 704 restricted stock units granted on April 11, 2016 pursuant to the Company's 2010 Stock Incentive Plan, vesting in four equal annual installments commencing on the first anniversary of the Date of Grant. The installments vest on April 11, 2017, April 11, 2018, April 11, 2019, and April 11, 2020.
5. 538 restricted stock units granted on April 12, 2018 pursuant to the Company's 2010 Stock Incentive Plan, vesting in four equal annual installments commencing on the first anniversary of the Date of Grant. The installments vest on April 12, 2019, April 12, 2020, April 12, 2021, and April 12, 2022.
6. 2,320 stock options granted on April 12, 2018 pursuant to the Company's 2010 Stock Incentive Plan, vesting in four equal annual installments commencing on the first anniversary of the Date of Grant. The installments are exercisable on April 12, 2019, April 12, 2020, April 12, 2021, and April 12, 2022.
7. 2,328 restricted stock units granted on March 13, 2019 pursuant to the Company's 2010 Stock Incentive Plan, vesting in four equal annual installments commencing on the first anniversary of the Date of Grant. The installments vest on March 13, 2020, March 13, 2021, March 13, 2022, and March 13, 2023.
8. 10,714 stock options granted on March 13, 2019 pursuant to the Company's 2010 Stock Incentive Plan, vesting in four equal annual installments commencing on the first anniversary of the Date of Grant. The installments are exercisable on March 13, 2020, March 13, 2021, March 13, 2022, and March 13, 2023.
9. 9,651 restricted stock units granted on March 10, 2020 pursuant to the Company's 2010 Stock Incentive Plan, vesting in four equal annual installments commencing on the first anniversary of the Date of Grant. The installments vest on March 10, 2021, March 10, 2022, March 10, 2023, and March 10, 2024.
Steve J. Lucas 06/23/2020
** Signature of Reporting Person Date
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 Number.