SEC Form 4 · accession 0001593968-16-001244
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 28, 2016
Accepted (ET)
Nov 29, 2016 · 4:51 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 28, 2016 | S | 20,200 | $92.30 | D | 332,152 | D | |
| Common StockF4,F2,F3 | Nov 28, 2016 | S | 500 | $93.08 | D | 331,652 | 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 $91.89 to $92.58, 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 $92.89 to $93.42, 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.