SEC Form 4 · accession 0001140361-16-056374
CARTERS INC · CRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julie D'Emilio
Officer — Senior Vice President - Sales
Period of report
Mar 1, 2016
Accepted (ET)
Mar 3, 2016 · 5:04 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 StockF1 | Mar 1, 2016 | M | 7,500 | $26.05 | A | 19,841 | D | |
| Common StockF2,F1 | Mar 1, 2016 | S | 2,797 | $101.76 | D | 17,044 | D | |
| Common StockF3,F1 | Mar 1, 2016 | S | 4,703 | $102.31 | D | 12,341 | 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)F4 | $26.05 | Mar 1, 2016 | M | 7,500 | D | — | Nov 9, 2016 | Common Stock | 7,500 | 0 | D |
Explanation of responses
- F1Some of these shares are restricted shares that are subject to either time-vesting or performance-based restrictions.
- F2This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $101.58 to $101.99, 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.
- F3This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $102.10 to $102.67, 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.
- F4These options are all exercisable,