SEC Form 4 · accession 0001179110-18-011733
RTW Retailwinds, Inc. · RTW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Faeth Bradley
Officer — EVP, Human Resources
Period of report
Aug 27, 2018
Accepted (ET)
Sep 28, 2018 · 6:33 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 | Aug 27, 2018 | A | 12,295 | $4.88 | A | 111,382 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF3 | $4.88 | Aug 27, 2018 | A | 57,377 | A | — | Aug 27, 2028 | Common Stock | 57,377 | 57,377 | D |
Explanation of responses
- F1The reporting person was awarded restricted stock which vests on August 27, 2021.
- F2Includes 64,691 shares of common stock; 7,198 vested deferred stock units; 822 deferred stock units which vest on August 31, 2020; 6,376 deferred stock units which vest onMarch 20, 2021; 20,000 shares of restricted stock which vest on August 22, 2019; and 12,295 shares of restricted stock which vest on August 27, 2021.
- F3The reporting person was awarded stock appreciation rights (SARs) which vest as follows: 14,344 on August 27, 2019; 14,344 on August 27, 2020, and 28,689 on August 27, 2021. Each SAR represents the right 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 will be settled in stock.