Filing Details
- Accession Number:
- 0000874214-12-000013
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-03-14 13:29:08
- Reporting Period:
- 2012-03-12
- Filing Date:
- 2012-03-14
- Accepted Time:
- 2012-03-14 12:29:08
- 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 |
|---|---|---|---|---|---|---|---|
| 1140530 | Katherine Krill Lawther | C/O Ann Inc. 7 Times Square New York NY 10036 | President & Ceo | 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 | 2012-03-12 | 82,501 | $2.82 | 392,935 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-03-12 | 82,501 | $27.56 | 310,434 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-03-13 | 5,662 | $27.85 | 304,772 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2012-03-13 | 50,000 | $0.00 | 354,772 | No | 4 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | Direct | |
| No | 4 | A | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right ro buy) | Disposition | 2012-03-12 | 82,501 | $0.00 | 82,501 | $2.82 |
| Common Stock | Employee Stock Option (right ro buy) | Acquisiton | 2012-03-13 | 100,000 | $0.00 | 100,000 | $27.85 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-03-10 | No | 4 | M | Direct | |
| 100,000 | 2022-03-13 | No | 4 | A | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $27.23 to $27.71, 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.
- This represents a grant of restricted stock.
- 1/3 of the option vested on March 10, 2010, 1/3 on March 10, 2011 and the remainder vested on March 10, 2012.
- Exercisable 1/3 per year on each of the first three anniversaries of the grant date.
- This represents a grant of stock options.
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