Filing Details
- Accession Number:
- 0001144204-11-068357
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-12-05 16:21:28
- Reporting Period:
- 2011-12-01
- Filing Date:
- 2011-12-05
- Accepted Time:
- 2011-12-05 16:21:28
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
857737 | Iconix Brand Group Inc. | ICON | Footwear, (No Rubber) (3140) | 112481903 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
944791 | Neil Cole | C/O Iconix Brand Group, Inc. 1450 Broadway New York NY 10018 | Ceo And President | Yes | 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 | 2011-12-01 | 48,700 | $2.75 | 1,766,679 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-12-01 | 48,700 | $17.04 | 1,717,979 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2011-12-02 | 99,442 | $2.75 | 1,817,421 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-12-02 | 99,442 | $17.04 | 1,717,979 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | 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 | 2011-12-01 | 48,700 | $0.00 | 48,700 | $2.75 |
Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-12-02 | 99,442 | $0.00 | 99,442 | $2.75 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
351,300 | 2002-04-23 | 2012-04-23 | No | 4 | M | Direct |
251,858 | 2002-04-23 | 2012-04-23 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 20,000 | Indirect | As custodian for children |
Common Stock | 15,194 | Indirect | By 401(K) Plan |
Footnotes
- The reported sales transactions were executed pursuant to a Sales Plan with a brokerage firm under Rule 10b5-1 of the Securities Exchange Act of 1934. Mr. Cole's 10b5-1 plan was implemented because of the short duration remaining on previously granted ten-year stock options covered by the 10b5-1 plan and applies only to options that expire by their terms on or before May 22, 2012.
- The reported sales transactions were executed in multiple trades at prices ranging from $17.00 to $17.20. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were affected.
- The reported sales transactions were executed in multiple trades at prices ranging from $17.00 to $17.24. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were affected.
- Includes 1,181,684 unissued shares underlying RSUs that were granted to the reporting person pursuant to the terms of his 2008 employment agreement with the issuer and a related RSU Agreement.
- The filing of this Statement shall not be construed to mean that the reporting person is, for the purposes of Section 16 of the Securities and Exchange Act of 1934 (as amended), the beneficial owner of the common stock of the issuer reported as indirectly owned by the reporting person as custodian for his children.