SEC Form 4 · accession 0001593968-19-000600
CARTERS INC · CRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard F. Westenberger
Officer — EVP and CFO
Period of report
Feb 27, 2019
Accepted (ET)
Mar 1, 2019 · 4:27 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 | Feb 27, 2019 | A | 3,850 | $28.44 | A | 65,487 | D | |
| Common StockF1 | Feb 27, 2019 | A | 557 | $42.61 | A | 66,044 | D | |
| Common StockF2,F1 | Feb 27, 2019 | S | 4,407 | $98.8849 | D | 61,637 | D | |
| Common StockF1 | Feb 28, 2019 | A | 1,778 | $42.61 | A | 63,415 | D | |
| Common StockF3,F1 | Feb 28, 2019 | S | 1,778 | $97.34 | D | 61,637 | 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) | $28.44 | Feb 27, 2019 | M | 3,850 | D | Feb 24, 2012 | Feb 24, 2021 | Common Stock | 3,850 | 0 | D |
| Employee Stock Option (Right to Purchase) | $42.61 | Feb 27, 2019 | M | 557 | D | Feb 22, 2013 | Feb 22, 2022 | Common Stock | 557 | 7,443 | D |
| Employee Stock Option (Right to Purchase) | $42.61 | Feb 28, 2019 | M | 1,778 | D | Feb 22, 2013 | Feb 22, 2022 | Common Stock | 1,778 | 5,665 | 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 $98.5 to $99.33, 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 $97.26 to $97.43, 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.