SEC Form 4/A · accession 0001179110-17-002448
RTW Retailwinds, Inc. · RTW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Michelle Pearlman
Officer — EVP, eCommerce and CMO
Period of report
Nov 7, 2016
Accepted (ET)
Feb 15, 2017 · 4:28 pm EST
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 | Nov 7, 2016 | D | 19,867 | $1.51 | D | 83,427 | D | |
| Common StockF3,F4 | Nov 7, 2016 | A | 150,000 | $2.11 | A | 233,427 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This is an amended filing solely to correct the omission of the cancellation of 19,867 shares of restricted stock on a Form 4 filed on November 9, 2016.
- F2Represents the cancellation of 19,867 shares of restricted stock. The 19,867 shares of restricted stock were unvested at November 7, 2016 when the reporting person resigned from the Company's board of directors and assumed the role of EVP, eCommerce and Chief Marketing Officer for the Company.
- F3As previously reported, the reporting person was awarded restricted stock which vests on November 7, 2019.
- F4Includes 83,427 shares of common stock and 150,000 shares of restricted stock which vest on November 7, 2019.