SEC Form 4 · accession 0001179110-17-009482
RTW Retailwinds, Inc. · RTW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Christy Haubegger
Director
Period of report
Jun 20, 2017
Accepted (ET)
Jun 22, 2017 · 6:16 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 | Jun 20, 2017 | A | 11,194 | $1.34 | A | 36,215 | D | |
| Common StockF2,F3 | Jun 20, 2017 | A | 11,194 | $0.00 | A | 47,409 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On June 20, 2017, the reporting person was awarded restricted stock which vests on June 1, 2018.
- F2On June 20, 2017, the reporting person was granted an award of performance-based restricted stock that vests subject to the Company achieving target operating income for the period July 30, 2017 through February 3, 2018 ("Fall 2017") and continuation as a member of the Company's Board of Directors through June 1, 2018. Any earned shares will vest on June 1, 2018. All 11,194 performance-based shares will be cancelled if the Company does not achieve the target operating income goal for Fall 2017.
- F3Represents 21,567 shares of common stock; 1,700 shares of restricted stock which vest on May 17, 2018; 11,194 shares of restricted stock which vest on June 1, 2018; 1,754 shares of restricted stock which vest on May 17, 2019; and 11,194 shares of performance-based restricted stock as described in footnote (2) above.