SEC Form 4 · accession 0001140361-15-010530
CARTERS INC · CRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey B. Williams
Officer — Senior VP Retail
Period of report
Mar 3, 2015
Accepted (ET)
Mar 5, 2015 · 5:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001060822
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3 | Mar 3, 2015 | M | 6,000 | $18.14 | A | 36,049 | D | |
| Common StockF2,F3 | Mar 3, 2015 | S | 6,000 | $90.37 | D | 30,049 | D | |
| Common StockF3 | Mar 3, 2015 | M | 3,000 | $28.04 | A | 33,049 | D | |
| Common StockF2,F3 | Mar 3, 2015 | S | 3,000 | $90.37 | D | 30,049 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Purchase)F1 | $18.14 | Mar 3, 2015 | M | 6,000 | D | Mar 12, 2010 | Mar 12, 2019 | Common Stock | 6,000 | 0 | D |
| Employee Stock Option (Right to Purchase)F1 | $28.04 | Mar 3, 2015 | M | 3,000 | D | Feb 16, 2011 | Feb 16, 2020 | Common Stock | 3,000 | 2,000 | D |
Explanation of responses
- F1These options are fully exercisable.
- F2This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $90.30 to $90.42, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- F3Some of these shares are restricted shares that are subject to either time-vesting or performance-based restrictions.