SEC Form 4 · accession 0001179110-17-012411
RTW Retailwinds, Inc. · RTW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John M Worthington
Officer — President and COO
Period of report
Sep 18, 2017
Accepted (ET)
Sep 19, 2017 · 4:13 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,F3 | Sep 18, 2017 | P | 10,000 | $1.84 | A | 366,200 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On September 18, 2017, the Reporting Person purchased shares of common stock.
- F2The Reporting Person purchased shares of common stock in multiple transactions at prices ranging from $1.80 to $1.87. The purchase price reported above reflects the weighted average price of $1.84. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.
- F3Includes 41,200 shares of common stock, 250,000 shares of restricted stock which vest on November 3, 2017, 25,000 shares of restricted stock which vest on August 25, 2018,and 50,000 shares of restricted stock which vest on August 22, 2019.