Filing Details
- Accession Number:
- 0000950138-14-000381
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2014-04-10 16:45:30
- Reporting Period:
- 2012-06-25
- Filing Date:
- 2014-04-10
- Accepted Time:
- 2014-04-10 16:45:30
- Original Submission Date:
- 2012-06-25
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
890491 | Barnes & Noble Inc | BKS | Retail-Miscellaneous Shopping Goods Stores (5940) | 061196501 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1057419 | Ellen Mary Keating | C/O Barnes &Amp; Noble, Inc. 122 Fifth Avenue New York NY 10011 | Sr. Vp Corp. Com. & Pub. Aff. | 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 | 2012-06-25 | 2,482 | $13.23 | 27,559 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2012-06-25 | 1,660 | $11.27 | 29,219 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-06-25 | 4,142 | $15.10 | 25,077 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | 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 | Stock Option (Right to Buy) | Disposition | 2012-06-25 | 2,482 | $0.00 | 2,482 | $13.23 |
Common Stock | Stock Option (Right to Buy) | Disposition | 2012-06-25 | 1,660 | $0.00 | 1,660 | $11.27 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2012-07-23 | No | 4 | M | Direct | |
0 | 2013-03-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 3,950 | Indirect | By 401(k) Plan |
Footnotes
- The number of shares subject to such options and the related exercise price have been adjusted to reflect the Issuer's spin-off transaction effected on November 12, 2004 which divided all outstanding exercise prices by 1.41534 and multiplied all related shares by the same number.
- The price reported in Column 4 is a weighted average share price. These shares were sold in multiple transactions at prices ranging from $15.0814 to $15.13, inclusive. The reporting person undertakes to provide to Barnes & Noble, Inc., any security holders of Barnes & Noble, 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 footnote 2 to this Form 4.
- Holdings under the Barnes & Noble, Inc. 401(k) Plan are reported in units. Therefore, the securities set forth in Column 5 of Table I are units. The number of units reported herein are based on a plan statement dated as of March 31, 2012. The Barnes & Noble, Inc. 401(k) Plan accounts for interests in the Barnes & Noble, Inc. Stock Fund in units consisting of shares of Barnes & Noble, Inc. common stock and a liquidity component. As a result, the number of underlying shares may fluctuate from time to time.
- One fourth of these options became exercisable on July 24 of each of the years 2003 through 2006.
- One fourth of these options became exercisable on March 13 of each of the years 2004 through 2007.