SEC Form 4 · accession 0000791519-17-000031
STAPLES INC · SPLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christine T Komola
Officer — Chief Financial Officer
Period of report
Mar 7, 2017
Accepted (ET)
Mar 9, 2017 · 4:35 pm EST
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 StockF2 | Jul 5, 2016 | J | 1,313 | $0.00 | D | 70,242 | D | |
| Common Stock | Jul 5, 2016 | J | 1,313 | $0.00 | A | 134,170 | I | Christine T. Komola Trust |
| Common Stock | Jan 4, 2017 | J | 1,381 | $0.00 | D | 68,861 | D | |
| Common Stock | Jan 4, 2017 | J | 1,381 | $0.00 | A | 135,551 | I | Christine T. Komola Trust |
| Common StockF3 | Mar 7, 2017 | A | 87,291 | $0.00 | A | 156,152 | D | |
| Common Stock | Mar 7, 2017 | F | 28,269 | $8.78 | D | 127,883 | D | |
| Common StockF4 | Mar 8, 2017 | A | 80,696 | $0.00 | A | 208,579 | D | |
| Common Stock | Mar 9, 2017 | J | 59,022 | $0.00 | D | 149,557 | D | |
| Common Stock | Mar 9, 2017 | J | 59,022 | $0.00 | A | 194,573 | I | Christine T. Komola Trust |
| Common Stock | holding | — | — | — | 14,028 | I | John A. Komola Trust |
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 SERPF5,F6 | — | holding | — | — | — | — | — | Common Stock | 2,126 | 2,126 | D |
| Phantom Stock Unit 401(k)F7,F6 | — | holding | — | — | — | — | — | Common Stock | 1,580 | 1,580 | D |
Explanation of responses
- F1Transfer from a direct holding to an indirect holding.
- F2ESPP - Adjusted to reflect additional shares acquired through reporting person's participation in Staples Employee Stock Purchase Plan.
- F3Shares acquired upon settlement of 2014-2016 performance share awards.
- F4Restricted Stock Unit vesting as follows: 1/3 vests on March 8, 2018; 1/3 vests on March 8, 2019; 1/3 vests on March 8, 2020.
- F5Phantom Stock Units are held in a SERP and are payable in cash following the reporting person's termination of employment. Number of underlying shares of common stock is based on January 5, 2017 account statement and reflects acquisitions resulting from dividend reinvestment feature.
- F6See Table II, Column 2
- F7Phantom 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 is based on January 5, 2017 account statement and reflects acquisitions resulting from dividend reinvestment feature.