UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Appreciation Rights | Â (6) | 02/19/2015 | Common Stock | 7,804 | $ 33.8 | D | Â |
Stock Appreciation Rights | Â (7) | 12/01/2016 | Common Stock | 4,103 | $ 40.38 | D | Â |
Stock Appreciation Rights | Â (8) | 12/01/2017 | Common Stock | 4,800 | $ 66.15 | D | Â |
Stock Appreciation Rights | Â (9) | 12/01/2018 | Common Stock | 3,945 | $ 68.75 | D | Â |
Stock Appreciation Rights | 03/01/2012 | 11/17/2015 | Common Stock | 6,888 (10) | $ 25.81 | D | Â |
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 | 08/29/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | 3,664 of the reported securities represent unrestricted common stock of the registrant. |
(2) | 3,602 of the reported securities represent shares of issuer common stock acquired pursuant to the Advance Auto Parts, Inc. Deferred Stock Unit Plan for Non-Employee Directors and Selected Executives. |
(3) | 171 of the reported securities represents the remaining unvested 75% portion of a restricted stock target equity award of 681 shares granted on 12/1/2009. The 75% portion is subject to time-based vesting in three equal annual installments beginning one year from the grant date. The remaining 25% portion of the grant may vest on 3/1/2013, if the registrant achieves certain predetermined financial performance targets, subject to certification by the registrant's Compensation Committee. In addition, the reporting person may receive additional shares up to a maximum of an additional 75% of the target award level. |
(4) | 312 of the reported securities represents the remaining unvested 75% portion of a restricted stock target equity award of 624 shares granted on 12/1/2010. The 75% portion is subject to time-based vesting in three equal annual installments beginning one year from the grant date. The remaining 25% portion of the grant may vest on 3/1/2014, if the registrant achieves certain predetermined financial performance targets, subject to certification by the registrant's Compensation Committee. In addition, the reporting person may receive additional shares up to a maximum of an additional 75% of the target award level. |
(5) | 382 of the reported securities represents the remaining unvested 75% portion of a restricted stock target equity award of 509 shares granted on 12/1/2011. The 75% is subject to time-based vesting in three equal annual installments beginning one year from the grant date. The remaining 25% portion of the grant may vest on 3/1/2015, if the registrant achieves certain predetermined financial performance targets, subject to certification by the registrant's Compensation Committee. In addition, the reporting person may receive additional shares up to a maximum of an additional 100% of the target award level. |
(6) | These stock appreciation rights became exercisable in three equal annual installments beginning on 2/19/2009. |
(7) | The reported securities represents the remaining unexercised 75% portion of a target equity award of 6,441 stock appreciation rights granted on 12/1/2009. The 75% is subject to time-based vesting in three equal annual installments beginning one year from the grant date. The remaining 25% portion of the grant may vest on 3/1/2013, if the registrant achieves certain predetermined financial performance targets, subject to certification by the registrant's Compensation Committee. In addition, the reporting person may receive additional stock appreciation rights up to a maximum of an additional 75% of the target award level. |
(8) | The reported securities represents the remaining unexercised 75% portion of a target equity award of 6,399 stock appreciation rights granted on 12/1/2010. The 75% is subject to time-based vesting in three equal annual installments beginning one year from the grant date. The remaining 25% portion of the grant may vest on 3/1/2014, if the registrant achieves certain predetermined financial performance targets, subject to certification by the registrant's Compensation Committee. In addition, the reporting person may receive additional stock appreciation rights up to a maximum of an additional 75% of the target award level. |
(9) | The reported securities represents the remaining unexercised 75% portion of a target equity award of 5,259 stock appreciation rights granted on 12/1/2011. The 75% is subject to time-based vesting in three equal annual installments beginning one year from the grant date. The remaining 25% portion of the grant may vest on 3/1/2015, if the registrant achieves certain predetermined financial performance targets, subject to certification by the registrant's Compensation Committee. In addition, the reporting person may receive additional stock appreciation rights up to a maximum of an additional 100% of the target award level. |
(10) | On 11/17/2008, the reporting person received an equity award, a portion of which was subject to the registrant achieving certain pre-determined financial performance targets, subject to certification by the registrant's Compensation Committee. Effective 3/1/2012 it was determined that these performance conditions had been achieved at the maximum level. The reported amount of stock appreciation rights (SARs) are fully vested and represent the maximum vesting level under this award. |
 Remarks: This Form 3 was executed by Rachel E. Geiersbach as Attorney-in-Fact for Kurt R. Schumacher pursuant to the Power of Attorney attached hereto as exhibit 24. |