Filing Details
- Accession Number:
- 0000950138-14-000528
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-07-03 16:30:51
- Reporting Period:
- 2014-07-03
- Filing Date:
- 2014-07-03
- Accepted Time:
- 2014-07-03 16:30:51
- 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 | 2014-07-03 | 8,750 | $15.78 | 62,033 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-07-03 | 11,199 | $22.88 | 50,834 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2014-07-03 | 8,750 | $0.00 | 8,750 | $15.78 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 26,250 | 2021-11-14 | 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
- 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 June 30, 2014. 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.
- Twenty-five percent of these options became exercisable on November 15, 2013, 25% will become exercisable on November 15, 2014 and the remaining 50% will become exercisable on November 15, 2015.
Billionaire Hedge Funds
