SEC Form 4 · accession 0001179110-15-013386
RTW Retailwinds, Inc. · RTW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Finnegan
Officer — EVP, Global Sales
Period of report
Sep 25, 2015
Accepted (ET)
Sep 29, 2015 · 4:33 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 StockF1,F2 | Sep 25, 2015 | S | 21,120 | $2.45 | D | 37,463 | D | |
| Common StockF3 | holding | — | — | — | 4,372 | I | KLF 2004 Grantor Retained Annuity Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 11, 2015.
- F2Includes 2,248 vested deferred stock units; 382 deferred stock units which vest on August 21, 2016; 1,866 deferred stock units which vest on March 13, 2017; 12,218 shares of restricted stock which vest on August 26, 2016; and 20,749 shares of restricted stock which vest on August 25, 2017.
- F3Represents common stock indirectly beneficially owned through the Kevin L. Finnegan 2004 Grantor Retained Annuity Trust.