SEC Form 4 · accession 0001179110-17-015920
RTW Retailwinds, Inc. · RTW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sheamus Toal
Officer — EVP and CFO
Period of report
Dec 27, 2017
Accepted (ET)
Dec 28, 2017 · 7:06 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 | Dec 27, 2017 | G | 9,000 | $0.00 | D | 200,412 | D | |
| Common StockF1,F3,F4 | Dec 27, 2017 | G | 9,000 | $0.00 | A | 19,000 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents common stock transferred as a bona fide gift to the reporting person's daughter. The shares continue to be held of record by the reporting person as custodian for his daughter.
- F2Includes 149,007 shares of common stock; 4,896 vested deferred stock units; 2,404 deferred stock units which vest on August 31, 2018; 2,492 deferred stock units which vest on August 31, 2020; 21,613 shares of restricted stock which vest on August 25, 2018; and 20,000 shares of restricted stock which vest on August 22, 2019.
- F3Represents common stock indirectly beneficially owned by the reporting person.
- F4The shares continue to be held of record by the reporting person as custodian for his daughter.