Filing Details
- Accession Number:
- 0000874214-12-000056
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-08-23 14:02:23
- Reporting Period:
- 2012-08-21
- Filing Date:
- 2012-08-23
- Accepted Time:
- 2012-08-23 14:02:23
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 874214 | Ann Inc. | ANN | Retail-Women's Clothing Stores (5621) | 133499319 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1393635 | E Brian Lynch | C/O Ann Inc. 7 Times Square New York NY 10036 | Brand President, Anntaylor | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-08-21 | 15,737 | $27.09 | 231,599 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-08-21 | 15,737 | $35.16 | 215,862 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-08-21 | 7,500 | $25.58 | 223,362 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-08-21 | 7,500 | $35.15 | 215,862 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-08-21 | 70,000 | $23.92 | 285,862 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-08-21 | 70,000 | $35.21 | 215,862 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-08-21 | 5,000 | $23.22 | 220,862 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-08-21 | 5,000 | $35.29 | 215,862 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-08-21 | 16,667 | $7.32 | 232,529 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-08-21 | 16,667 | $35.29 | 215,862 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-08-22 | 3,000 | $27.09 | 218,862 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-08-22 | 3,000 | $35.15 | 215,862 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2012-08-21 | 15,737 | $0.00 | 15,737 | $27.09 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2012-08-21 | 7,500 | $0.00 | 7,500 | $25.58 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2012-08-21 | 70,000 | $0.00 | 70,000 | $23.92 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2012-08-21 | 5,000 | $0.00 | 5,000 | $23.22 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2012-08-21 | 16,667 | $0.00 | 16,667 | $7.32 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2012-08-22 | 3,000 | $0.00 | 3,000 | $27.09 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,013 | 2014-05-24 | No | 4 | M | Direct | |
| 0 | 2015-03-15 | No | 4 | M | Direct | |
| 0 | 2018-03-12 | No | 4 | M | Direct | |
| 0 | 2018-07-10 | No | 4 | M | Direct | |
| 0 | 2019-06-01 | No | 4 | M | Direct | |
| 13 | 2014-05-24 | No | 4 | M | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $35.15 to $35.20, inclusive. For all transactions reported in this Form 4 utilizing a weighted average price, the reporting person undertakes to provide to ANN INC., any security holder of ANN INC., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $35.15 to $35.36, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $35.21 to $35.36, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $35.20 to $35.39, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $35.15 to $35.205, inclusive.
- 1/4 of the option vested on each of May 24, 2005, 2006, 2007 and 2008.
- 1/4 of the option vested on each of March 15, 2006, 2007, 2008 and 2009.
- 1/4 of the option vested on each of March 12, 2009, 2010, 2011 and 2012.
- 1/4 of the option vested on each of July 10, 2009, 2010, 2011 and 2012.
- 1/3 of the option vested on each of June 1, 2010, 2011 and 2012.
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