SEC Form 4 · accession 0001209191-17-007197
Kate Spade & Co · KATE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy J Karch
Director
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 5:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000352363
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $1 per shareF1 | Jan 31, 2017 | M | 112 | $0.00 | A | 144,009 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2 | $0.00 | Jan 31, 2017 | M | 112 | D | Jan 31, 2017 | — | Common Stock, par value $1 per share | 112 | 112 | D |
Explanation of responses
- F1Represents shares of phantom stock credited to Reporting Person equal in value to and in lieu of cash dividends otherwise payable on previously granted Common Stock, the receipt of which was deferred by Reporting Person pursuant to Reporting Person's election under Issuer's Outside Director's Deferral Plan. Upon distribution of the previously deferred shares of Common Stock, the shares of phantom stock converted to Common Stock on a one-for-one basis.
- F2Not applicable.