SEC Form 4 · accession 0001182489-18-000387
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
Aug 31, 2018
Accepted (ET)
Sep 5, 2018 · 6:49 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 31, 2018 | F | 2,355 | $4.55 | D | 235,769 | D | |
| Common StockF3,F4 | holding | — | — | — | 19,000 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a transaction involving a disposition to the Company of equity securities to satisfy tax withholding obligations upon the distribution of deferred stock units issued under the Company's Management Stock Purchase Plan.
- F2Includes 162,489 shares of common stock; 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; 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.