SEC Form 4 · accession 0001179110-18-012890
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
Nov 13, 2018
Accepted (ET)
Nov 15, 2018 · 5:07 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 | Nov 13, 2018 | M | 25,000 | $1.46 | A | 279,211 | D | |
| Common StockF3,F4 | holding | — | — | — | 19,000 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to Purchase Common StockF1,F5 | $1.46 | Nov 13, 2018 | M | 25,000 | A | — | Nov 13, 2018 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1The reporting person exercised options to purchase common stock that by their original terms were set to expire and be cancelled on November 19, 2018 if not exercised by such date.
- F2Includes 187,489 shares of common stock, including the 25,000 shares of common stock received upon the reporting person exercising 25,000 options to purchase common stock on November 13, 2018; 26,640 vested deferred stock units; 2,492 deferred stock units which vest on August 31, 2020; 19,322 deferred stock units which vest on March 20, 2021; 4,826 deferred stock units which vest on August 20, 2021; 20,000 shares of restricted stock which vest on August 22, 2019; and 18,442 shares of restricted stock which vest on August 27, 2021.
- 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.
- F5The options became exercisable in four annual installments on the following dates: 6,250 shares on November 19, 2009; 6,250 shares on November 19, 2010; 6,250 shares on November 19, 2011; and 6,250 shares on November 19, 2012.