SEC Form 4 · accession 0001140361-16-061154
ICONIX BRAND GROUP, INC. · ICON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
BARCLAYS PLC
10% Owner
Period of report
Mar 10, 2016
Accepted (ET)
Apr 14, 2016 · 8:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000857737
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 10, 2016 | P | 1,989 | $8.34 | A | 4,726,837 | I | by Barclays Capital Derivatives Funding LLC |
| Common StockF1 | Mar 10, 2016 | P | 200 | $8.585 | A | 4,726,837 | I | by Barclays Capital Inc. |
| Common StockF1 | Mar 10, 2016 | P | 24 | $8.59 | A | 4,726,837 | I | by Barclays Capital Inc. |
| Common StockF1 | Mar 10, 2016 | P | 5,000 | $8.3861 | A | 4,726,837 | I | by Barclays Capital Inc. |
| Common StockF1 | Mar 10, 2016 | P | 300 | $8.555 | A | 4,726,837 | I | by Barclays Capital Inc. |
| Common StockF1 | Mar 10, 2016 | P | 100 | $8.555 | A | 4,726,837 | I | by Barclays Capital Inc. |
| Common StockF1 | Mar 10, 2016 | P | 300 | $8.555 | A | 4,726,837 | I | by Barclays Capital Inc. |
| Common StockF1 | Mar 10, 2016 | P | 100 | $8.555 | A | 4,726,837 | I | by Barclays Capital Inc. |
| Common StockF1 | Mar 10, 2016 | P | 200 | $8.555 | A | 4,726,837 | I | by Barclays Capital Inc. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| ICON April 16 10 CallF1,F2 | $10.00 | Mar 14, 2016 | P | 5 | A | — | Apr 15, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON April 16 10 CallF1,F2 | $10.00 | Mar 14, 2016 | S | 2 | D | — | Apr 15, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON April 16 10 CallF1,F2 | $10.00 | Mar 14, 2016 | S | 50 | D | — | Apr 15, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON April 16 10 PutF1,F2 | $5.00 | Mar 14, 2016 | P | 16 | A | — | Apr 15, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON April 16 10 PutF1,F2 | $5.00 | Mar 14, 2016 | P | 1 | A | — | Apr 15, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON April 16 7.5 PF1,F2 | $7.50 | Mar 14, 2016 | P | 20 | A | — | Apr 15, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON April 16 7.5 PF1,F2 | $7.50 | Mar 14, 2016 | P | 2 | A | — | Apr 15, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON July 2016 5 PutF1,F2 | $5.00 | Mar 14, 2016 | S | 10 | D | — | Jul 15, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON July 2016 5 PutF1,F2 | $5.00 | Mar 14, 2016 | S | 1 | D | — | Jul 15, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON May 2016 10 CallF1,F2 | $10.00 | Mar 14, 2016 | S | 1 | D | — | May 20, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON May 2016 10 CallF1,F2 | $10.00 | Mar 14, 2016 | S | 1 | D | — | May 20, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON May 2016 10 CallF1,F2 | $10.00 | Mar 14, 2016 | S | 1 | D | — | May 20, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON May 2016 7.5 CallF1,F2 | $7.50 | Mar 14, 2016 | P | 1 | A | — | May 20, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON May 2016 7.5 CallF1,F2 | $7.50 | Mar 14, 2016 | P | 1 | A | — | May 20, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON May 2016 7.5 CallF1,F2 | $7.50 | Mar 14, 2016 | P | 1 | A | — | May 20, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON April 16 10 CallF1,F2 | $10.00 | Mar 15, 2016 | S | 11 | D | — | Apr 15, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON March 2016 7.5 PutF1,F2 | $7.50 | Mar 15, 2016 | P | 5 | A | — | Mar 18, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON Aug 2016 17.5 CallF1,F2 | $17.50 | Mar 18, 2016 | P | 1 | A | — | Aug 19, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON Aug 2016 17.5 CallF1,F2 | $17.50 | Mar 18, 2016 | P | 1 | A | — | Aug 19, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON March 2016 7.5 CallF1,F2 | $7.50 | Mar 18, 2016 | P | 5 | A | — | Mar 18, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON Aug 2016 5 PutF1,F2 | $5.00 | Mar 24, 2016 | P | 2 | A | — | Aug 19, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON Aug 2016 5 PutF1,F2 | $5.00 | Mar 24, 2016 | P | 1 | A | — | Aug 19, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON Aug 2016 7.5 CallF1,F2 | $7.50 | Mar 24, 2016 | S | 7 | D | — | Aug 19, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON Aug 2016 7.5 CallF1,F2 | $7.50 | Mar 24, 2016 | S | 9 | D | — | Aug 19, 2016 | Common Stock | 100 | 4,726,837 | I |
| ICON Jan 2018 5 CallF1,F2 | $5.00 | Mar 24, 2016 | S | 20 | D | — | Jan 19, 2018 | Common Stock | 100 | 4,726,837 | I |
| ICON Jan 2018 7.5 CallF1,F2 | $7.50 | Mar 24, 2016 | P | 20 | A | — | Jan 19, 2018 | Common Stock | 100 | 4,726,837 | I |
| ICON April 16 10 CallF1,F2 | $10.00 | Mar 28, 2016 | S | 3 | D | — | Apr 15, 2016 | Common Stock | 100 | 4,726,837 | I |
Explanation of responses
- F1As of March 10, 2016, the Reporting Persons beneficially owned 5,062,950 shares of common stock of Iconix Brand Group Inc. The amount set forth in column 5 represents the Reporting Persons' beneficial ownership of the common stock of the Issuer as of the close of business on March 28, 2016; ownership information after each reported transaction is not reasonably available to the Reporting Persons.
- F2The derivative security is exercisable at any time.
Remarks
(a) Name of Person Filing: (1) Barclays PLC (2) Barclays Capital Inc. (controlled by Barclays PLC) (3) Barclays Capital Derivative Funding (controlled by Barclays Bank PLC) (b) Address of Principal Business Office or, if none, Residence: (1) Barclays PLC 1 Churchill Place, London, E14 5HP, England (2) Barclays Capital Inc 745 Seventh Avenue New York, New York 10019 United States (3) Barclays Capital Derivative Funding LLC c/o Corporation Trust Company, Corporation Trust Center 1209 Orange Street Wilmington, DE 19801 (c) The Reporting Persons will send the Issuer a check promptly following the date of this filing in the amount of profit subject to short-swing recovery as a result of the reported transactions.