Filing Details
- Accession Number:
- 0001246360-11-004331
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-12-15 17:40:09
- Reporting Period:
- 2011-12-13
- Filing Date:
- 2011-12-15
- Accepted Time:
- 2011-12-15 17:40:09
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 791519 | Staples Inc | SPLS | Retail-Miscellaneous Shopping Goods Stores (5940) | 042896127 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1180656 | Ronald Sargent | Five Hundred Staples Drive Framingham MA 01702 | Chairman And Ceo | No | No | 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 | 2011-12-13 | 650,282 | $11.60 | 1,777,504 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-12-13 | 650,282 | $14.68 | 1,127,222 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-12-14 | 33,000 | $11.60 | 1,160,222 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-12-14 | 33,000 | $14.35 | 1,127,222 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-12-15 | 306,718 | $11.60 | 1,433,940 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-12-15 | 135,000 | $11.60 | 1,568,940 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-12-15 | 306,718 | $14.30 | 1,262,222 | 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 | |
| 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 | Option to Purchase | Disposition | 2011-12-13 | 650,282 | $0.00 | 650,282 | $11.60 |
| Common Stock | Option to Purchase | Disposition | 2011-12-14 | 33,000 | $0.00 | 33,000 | $11.60 |
| Common Stock | Option to Purchase | Disposition | 2011-12-15 | 306,718 | $0.00 | 306,718 | $11.60 |
| Common Stock | Option to Purchase | Disposition | 2011-12-15 | 135,000 | $0.00 | 135,000 | $11.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 474,718 | 2002-12-04 | 2012-01-03 | No | 4 | M | Direct |
| 441,718 | 2002-12-04 | 2012-01-03 | No | 4 | M | Direct |
| 135,000 | 2002-12-04 | 2012-01-03 | No | 4 | M | Direct |
| 0 | 2002-12-04 | 2012-01-03 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 10,483 | Indirect | Ronald L. Sargent GRAT 2007 |
| Common Stock | 654,887 | Indirect | Sargent Partners LLC |
| Common Stock | 43,577 | Indirect | Sargent Family Inv. LLC |
| Common Stock | 19,313 | Indirect | Jill Sargent Irr. TR |
| Common Stock | 19,313 | Indirect | Ronald L. Sargent Irr. TR |
| Common Stock | 204,000 | Indirect | Ronald L. Sargent GRAT 2011 |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock Unit SERP | $0.00 | 8,055 | 8,055 | Direct | ||
| Common Stock | Phantom Stock Unit 401(k) | $0.00 | 6,773 | 6,773 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 8,055 | 8,055 | Direct | |
| 6,773 | 6,773 | Direct |
Footnotes
- Phantom Stock Units are held in a SERP and are payable in cash following the reporting person's termination of employment. Number of underlying shares of common stock are based on December 14, 2011 account statement.
- See Table II, Column 2
- Phantom Stock Units are held in a 401(k) and are payable in cash following the reporting person's termination of employment. Number of underlying shares of common stock are based on December 14, 2011 account statement.
- See Table II, Column 2
- Monthly Vesting: Restricted by vesting schedule as follows: 25% will vest on the Date Exercisable and 2.083% will vest each month thereafter.
- These shares were sold to satisfy the option costs and withholding liability associated with the exercise of non-qualified stock options granted in 2001.
- The price reported represents the weighted average sales price of shares sold on December 13, 2011. Shares were sold at prices ranging from $14.60 to $14.80 per share. The reporting person hereby undertakes, upon the request of the Staff of the U.S. Securities and Exchange Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
- The price reported represents the weighted average sales price of shares sold on December 14, 2011. Shares were sold at prices ranging from $14.33 to $14.375 per share. The reporting person hereby undertakes, upon the request of the Staff of the U.S. Securities and Exchange Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
- The price reported represents the weighted average sales price of shares sold on December 15, 2011. Shares were sold at prices ranging from $14.20 to $14.39 per share. The reporting person hereby undertakes, upon the request of the Staff of the U.S. Securities and Exchange Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
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