SEC Form 4 · accession 0001593968-17-001323
CARTERS INC · CRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julie D'Emilio
Officer — EVP, Sales
Period of report
Dec 1, 2017
Accepted (ET)
Dec 5, 2017 · 4:52 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 | Dec 1, 2017 | M | 3,000 | $22.79 | A | 19,319 | D | |
| Common StockF2,F1,F3 | Dec 1, 2017 | S | 3,000 | $108.25 | D | 16,252 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F4 | $22.79 | Dec 1, 2017 | M | 3,000 | D | Dec 3, 2008 | Dec 3, 2017 | Common Stock | 3,000 | 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 $108.00 to $108.50, 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.
- F3The amount of securities beneficially owned includes 67 fewer shares of common stock than would otherwise be reflected in order to remedy an inadvertent clerical error in previous Section 16 filings for Ms. D'Emilio.
- F4These options are all exercisable.