Filing Details
- Accession Number:
- 0000874214-11-000032
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-23 10:13:53
- Reporting Period:
- 2011-03-21
- Filing Date:
- 2011-03-23
- Accepted Time:
- 2011-03-23 10:13:53
- 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 | President Corporate Operations | 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 | 2011-03-21 | 33,333 | $2.82 | 211,029 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-03-21 | 16,666 | $14.08 | 227,695 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-03-21 | 14,333 | $19.58 | 242,028 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-03-21 | 64,332 | $26.76 | 177,696 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| 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 | Employee Stock Option (right to buy) | Disposition | 2011-03-21 | 33,333 | $0.00 | 33,333 | $2.82 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-03-21 | 16,666 | $0.00 | 16,666 | $14.08 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-03-21 | 14,333 | $0.00 | 14,333 | $19.58 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 33,334 | 2019-03-10 | No | 4 | M | Direct | |
| 33,334 | 2019-09-01 | No | 4 | M | Direct | |
| 28,667 | 2020-03-16 | 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 $26.73 to $26.80, inclusive. 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.
- 1/3 of the options vested on March 10, 2010, 1/3 on March 10, 2011 and the remainder will vest on March 10, 2012.
- 1/3 of the options vested on September 1, 2010 and the remainder will vest in two equal annual installments beginning September 1, 2011.
- 1/3 of the options vested on March 16, 2011 and the remainder will vest in two equal annual installments beginning March 16, 2012.
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