Filing Details
- Accession Number:
- 0001140361-10-012457
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-03-16 13:00:00
- Reporting Period:
- 2010-03-15
- Filing Date:
- 2010-03-16
- Accepted Time:
- 2010-03-16 20:43:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1011290 | 99 Cents Only Stores | NYSE:NDN | Retail-Variety Stores (5331) | 952411605 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1344517 | F Robert Kautz | C/O 99 Cents Only Stores 4000 Union Pacific Avenue City Of Commerce CA 90023 | Exec Vp & Cfo | 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 | Disposition | 2010-03-15 | 9,500 | $16.89 | 36,191 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | $9.54 | 2015-11-11 | 150,000 | 150,000 | Direct | |
| Common Stock | Stock Option (right to buy) | $6.58 | 2018-01-11 | 110,678 | 110,678 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-11-11 | 150,000 | 150,000 | Direct |
| 2018-01-11 | 110,678 | 110,678 | Direct |
Footnotes
- This transaction was completed pursuant to a Rule 10b5-1 trading plan. This is the only transaction reported on this Form 4. The information provided in Table II reflects stock options currently owned by the Reporting Person that were granted on prior dates.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.77 to $17.05. The reporting person undertakes to provide to 99 Cents Only Stores, any security holder of 99 Cents Only Stores, 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 2 to this Form 4.
- This grant of options vested in three equal annual installments beginning November 11, 2006, and is now fully vested.
- This number of derivative securities only represents this specific class of derivative securities.
- This grant of options vests in three equal annual installments beginning January 11, 2009, so that 73,785 options are now fully vested.
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