SEC Form 4 · accession 0001593968-16-001205
CARTERS INC · CRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Dennis Casey
Officer — Chairman and CEO · Director
Period of report
Nov 14, 2016
Accepted (ET)
Nov 15, 2016 · 4:11 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,F2,F3 | Nov 14, 2016 | S | 300 | $89.13 | D | 393,452 | D | |
| Common StockF4,F2,F3 | Nov 14, 2016 | S | 600 | $90.32 | D | 392,852 | D | |
| Common StockF5,F2,F3 | Nov 14, 2016 | S | 2,000 | $91.63 | D | 390,852 | D | |
| Common StockF6,F2,F3 | Nov 14, 2016 | S | 3,441 | $92.73 | D | 387,411 | D | |
| Common StockF7,F2,F3 | Nov 14, 2016 | S | 10,500 | $93.55 | D | 376,911 | D | |
| Common StockF8,F2,F3 | Nov 14, 2016 | S | 3,859 | $94.25 | D | 373,052 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $88.93 to $89.50, 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 entered into on May 9, 2016.
- F3Some of these shares are restricted shares that are subject to either time-vesting or performance-based restrictions.
- F4This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $89.99 to $90.96, 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.
- F5This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $91.04 to $91.97, 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.
- F6This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $92.05 to $93.03, 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.
- F7This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $93.05 to $94.04, 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.
- F8This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $94.05 to $94.65, 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.