SEC Form 4 · accession 0001104659-15-066055

RTW Retailwinds, Inc. · RTW

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP and CFO

Period of report

Aug 25, 2015

Accepted (ET)

Sep 18, 2015 · 5:01 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001211351

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Aug 25, 2015	A	21,613	$0.00	A	239,209	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Rights^F3	$2.60	Aug 25, 2015	A	114,618	A	—	Aug 25, 2025	Common Stock	114,618	114,618	D

F1The reporting person was awarded restricted stock which vests on August 25, 2018.
F2Includes 90,874 shares of common stock; 20,506 vested deferred stock units; 7,420 deferred stock units which vest on March 19, 2016; 1,818 deferred stock units which vest on August 21, 2016; 8,864 deferred stock units which vest on March 13, 2017; 2,404 deferred stock units which vest on August 17, 2018; 14,097 shares of restricted stock which vest on August 26, 2016; 50,000 shares of restricted stock which vest on October 22, 2016; 21,613 shares of restricted stock which vest on August 25, 2017; and 21,613 shares of restricted stock which vest on August 25, 2018.
F3The reporting person was awarded stock appreciation rights (SARs) which vest as follows: 28,654 on August 25, 2016; 28,654 on August 25, 2017, and 57,310 on August 25, 2018. Each SAR represents the right to receive a payment measured by the increase in the fair market value of one share of common stock from the date of grant of the SAR to the date of exercise of the SAR. Upon exercise the SARs will be settled in stock.