SEC Form 4 · accession 0001140361-15-032863
CARTERS INC · CRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian Lynch
Officer — President, Carter's, Inc.
Period of report
Aug 17, 2015
Accepted (ET)
Aug 19, 2015 · 6:00 pm EDT
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 Stock | Aug 17, 2015 | M | 10,750 | $18.14 | A | 82,918 | D | |
| Common StockF1,F2 | Aug 17, 2015 | S | 10,750 | $99.05 | D | 72,168 | 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)F3 | $18.14 | Aug 17, 2015 | M | 10,750 | D | — | Mar 12, 2019 | Common Stock | 10,750 | 4,500 | D |
Explanation of responses
- F1This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $98.37 to $99.83, 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.
- F2The transaction reported in this Form 4 was effectuated pursuant to a Rule 10b5-1 trading plan.
- F3These options are all exercisable.