SEC Form 4 · accession 0001179110-18-011727
RTW Retailwinds, Inc. · RTW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam Ratner
Officer — VP and General Counsel
Period of report
Aug 27, 2018
Accepted (ET)
Sep 28, 2018 · 6:31 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF1 | $4.88 | Aug 27, 2018 | A | 2,459 | A | — | Aug 27, 2028 | Common Stock | 2,459 | 2,459 | D |
Explanation of responses
- F1The reporting person was awarded stock appreciation rights (SARs) which vest as follows: 614 on August 27, 2019, 614 on August 27, 2020, and 1,231 on August 27, 2021. Each SAR represents theright to receive a payment measured by the increase in the fair market value of one share of common stock from the date of grant of the SAR to the date of exercise of the SAR. Upon exercise, the SARs willbe settled in stock.