SEC Form 4/A · accession 0001179110-18-000887
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
Christy Haubegger
Director
Period of report
Jun 20, 2017
Accepted (ET)
Jan 16, 2018 · 5:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001211351
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF1,F3 | — | Jun 20, 2017 | A | 11,194 | A | — | — | Common Stock | 11,194 | 11,194 | D |
| Deferred Stock UnitsF2,F5,F4 | — | Jun 20, 2017 | A | 11,194 | A | — | — | Common Stock | 11,194 | 22,388 | D |
Explanation of responses
- F1This is an amended filing to a Form 4 filed on June 22, 2017, which reported deferred stock units granted to the reporting person as restricted stock. The award is now correctly described and reported in Table II.
- F2This is an amended filing to a Form 4 filed on June 22, 2017, which reported performance-based deferred stock units granted to the reporting person as performance-based restricted stock. The award is now correctly described and reported in Table II.
- F3On June 20, 2017, the reporting person was awarded deferred stock units which vest on June 1, 2018. The reporting person has elected to defer the receipt of shares. Each deferred stock unit is the economic equivalent of one share of New York & Company, Inc. common stock.
- F4On June 20, 2017, the reporting person was awarded performance-based deferred stock units which vest 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. The reporting person has elected to defer the receipt of shares. Each deferred stock unit is the economic equivalent of one share of New York & Company, Inc. common stock. Any earned shares will vest on June 1, 2018. All 11,194 performance-based deferred stock units will be cancelled if the Company does not achieve the target operating income goal for Fall 2017.
- F5Includes 11,194 deferred stock units which vest on June 1, 2018 and 11,194 performance-based deferred stock units as described in footnote (4) above.