SEC Form 4 · accession 0000791519-15-000061
STAPLES INC · SPLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald Sargent
Officer — Chairman and CEO · Director
Period of report
Jul 2, 2015
Accepted (ET)
Jul 6, 2015 · 5:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000791519
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 2, 2015 | F | 44,598 | $15.55 | D | 50,798 | D | |
| Common Stock | Jul 2, 2015 | J | 50,797 | $0.00 | D | 1 | D | |
| Common Stock | Jul 2, 2015 | J | 50,797 | $0.00 | A | 1,330,565 | I | Ronald L. Sargent Rev TR |
| Common Stock | holding | — | — | — | 19,313 | I | Jill Sargent Irr. TR | |
| Common Stock | holding | — | — | — | 619,174 | I | Sargent Partners LLC | |
| Common Stock | holding | — | — | — | 52,077 | I | Sargent Family Inv. LLC | |
| Common Stock | holding | — | — | — | 42,269 | I | Ronald L. Sargent GRAT 2011 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Unit SERPF3,F4 | — | holding | — | — | — | — | — | Common Stock | 9,134 | 9,134 | D |
| Phantom Stock Unit 401(k)F5,F4 | — | holding | — | — | — | — | — | Common Stock | 4,582 | 4,582 | D |
Explanation of responses
- F1ESPP - Adjusted to reflect additional shares acquired through reporting person's participation in Staples Employee Stock Purchase Plan.
- F2Transfer from a direct holding to an indirect holding.
- F3Phantom Stock Units are held in a SERP and are payable in cash following the reporting person's termination of employment. No of underlying shares of common stock are based on July 2, 2015 account statement.
- F4See Table II, Column 2
- F5Phantom Stock Units are held in a 401(k) and are payable in cash following the reporting person's termination of employment. Number of underlying shares of common stock are based on July 2, 2015 account statement.