SEC Form 4 · accession 0001140361-15-033014
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
Aug 18, 2015
Accepted (ET)
Aug 20, 2015 · 5:47 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 stockF2 | Aug 18, 2015 | M | 2,000 | $28.04 | A | 31,450 | D | |
| common stockF1,F2 | Aug 18, 2015 | S | 2,000 | $99.03 | D | 29,450 | D | |
| common stockF2 | Aug 18, 2015 | M | 2,000 | $28.44 | A | 31,450 | D | |
| common stockF1,F2 | Aug 18, 2015 | S | 2,000 | $99.03 | D | 29,450 | 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 | $28.04 | Aug 18, 2015 | M | 2,000 | D | — | Feb 16, 2020 | Common Stock | 2,000 | 0 | D |
| Employee Stock Option (Right to Purchase)F3 | $28.44 | Aug 18, 2015 | M | 2,000 | D | — | Feb 24, 2021 | Common Stock | 2,000 | 5,400 | D |
Explanation of responses
- F1This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $ 99.01 to $99.04, 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.
- F2Some of these shares are restricted shares that are subject to either time-vesting or performance-based restrictions.
- F3These options are all exercisable.