Home > Insider Trading > Filing (0001181431-13-060943)

Filing Details

Accession Number:: 0001181431-13-060943
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-11-27 19:44:41
Reporting Period:: 2013-11-27

Filing Date:: 2013-11-27
Accepted Time:: 2013-11-27 19:44:41
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1579157	Vince Holding Corp.	VNCE	Retail-Apparel & Accessory Stores (5600)	753264870

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1391476	Sun Capital Partners V Lp	C/O Sun Capital Partners, Inc. 5200 Town Circle Center, Suite 600 Boca Raton FL 33486	No	No	Yes	No
1456479	Sun Capital Advisors V, L.p.	C/O Sun Capital Partners, Inc. 5200 Town Circle Center, Suite 600 Boca Raton FL 33486	No	No	Yes	No
1456482	Sun Capital Partners V, Ltd.	C/O Sun Capital Partners, Inc. 5200 Town Circle Center, Suite 600 Boca Raton FL 33486	No	No	Yes	No
1591990	Sun Cardinal, Llc	C/O Sun Capital Partners, Inc. 5200 Town Circle Center, Suite 600 Boca Raton FL 33486	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock, Par Value $0.01	Acquisiton	2013-11-27	19,654,204	$0.00	19,654,204	No	4	J	Indirect	See Footnote
Common Stock, Par Value $0.01	Acquisiton	2013-11-27	196,583	$0.04	19,850,787	No	4	M	Indirect	See Footnote
Common Stock, Par Value $0.01	Disposition	2013-11-27	1,125,000	$18.60	18,725,787	No	4	S	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	J	Indirect	See Footnote
No	4	M	Indirect	See Footnote
No	4	S	Indirect	See Footnote

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy)	Acquisiton	2013-11-27	196,583	$4.61	196,583	$0.04
Common Stock	Employee Stock Option (right to buy)	Disposition	2013-11-27	196,583	$0.00	196,583	$0.04

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
196,583	2013-11-27	2013-12-07	No	4	A	Indirect
0	2013-11-27	2013-12-07	No	4	M	Indirect

Footnotes

Pursuant to the Amended and Restated Certificate of Incorporation of Apparel Holding Corp. (renamed Vince Holding Corp., the "Company") filed immediately prior to the consummation of the Company's initial public offering, each share of voting common stock, par value $0.001 per share, was converted into 28.5177 shares of common stock, par value $0.01 per share (the "Stock Split").
Represents common stock owned of record by Sun Cardinal, LLC ("Sun Cardinal"). Sun Captial Partners V, L.P. ("SCP V") owns all of the ownership interests in Sun Cardinal. Sun Capital Partners V, Ltd. is the general partner of Sun Capital Advisors V, L.P., which is the general partner of SCP V. As a result, SCP V, Sun Capital Partners V, Ltd. and Sun Capital Advisors V, L.P. (collectively, the "Indirect Sun Owners") may be deemed to have indirect beneficial ownership of the securities owned by Sun Cardinal. Each Indirect Sun Owner expressly disclaims beneficial ownership of any securities in which they do not have a pecuniary interest.
As set forth in Table II, 196,583 employee stock options were previously issued by Kellwood Company to a former Kellwood Company employee on February 20, 2008 pursuant to the 2010 Option Plan. The Company assumed Kellwood Company's obligations with respect to such options on November 21, 2013 (which became options to acquire shares of the Company's common stock); provided that such options did not become exercisable until consummation of the Company's initial public offering. The options and the related exercise price have been adjusted to give effect to such assumption and the Stock Split. On November 27, 2013, Sun Cardinal acquired such options from the former Kellwood Company employee and exercised such options on the same date.
Represents shares of common stock sold in the Company's initial public offering by Sun Cardinal at a public offering price of $20.00 per share, net of the underwriters' discount of $1.40 per share.
Pursuant to that option extension agreement dated as of August 5,2013 between the former employee and Kellwood Copmany, the expiration date of the subject options was extended to the earliest of (i) 10 days following the consummation of the Company's initial public offering (which occurred on November 27, 2013), (ii) the date of the consummation of a "Sale" (as defined in the employee's grant agreement) and (iii) June 20, 2020.