SEC Form 4 · accession 0001127602-15-018855
WILLIAMS SONOMA INC · WSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laura Alber
Officer — PRESIDENT & CEO · Director
Period of report
May 26, 2015
Accepted (ET)
May 28, 2015 · 5:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000719955
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 26, 2015 | M | 136,185 | $40.87 | A | 494,539 | D | |
| Common StockF1 | May 26, 2015 | F | 34,280 | $78.96 | D | 460,259 | D | |
| Common StockF2 | May 26, 2015 | D | 70,490 | $78.96 | D | 389,769 | D | |
| Common StockF3 | May 26, 2015 | S | 64,968 | $77.97 | D | 324,801 | D | |
| Common StockF4 | holding | — | — | — | 13,264 | I | By Managed Account |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF5 | $40.87 | May 26, 2015 | M | 136,185 | D | — | Apr 5, 2018 | Common Stock | 136,185 | 0 | D |
Explanation of responses
- F1Reflects the number of shares retained by the issuer to satisfy tax withholding requirements in connection with the reporting person's exercise of a stock-settled stock appreciation right.
- F2Reflects the number of shares retained by the issuer in connection with the reporting person's exercise of a stock-settled stock appreciation right.
- F3Reflects the weighted average price as the shares were sold in multiple transactions. The per share transaction price ranged from $77.62 to $78.90. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4Represents the number of shares held by the reporting person in the Williams-Sonoma, Inc. Stock Fund under the Williams-Sonoma, Inc. 401(k) Plan, based on a statement dated May 26, 2015.
- F5These stock-settled stock appreciation rights are fully vested and immediately exercisable.