SEC Form 4 · accession 0000950138-15-000067
BARNES & NOBLE INC · BKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mitchell S Klipper
Officer — CEO, B&N Retail Group
Period of report
Jan 20, 2015
Accepted (ET)
Jan 22, 2015 · 2:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000890491
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 20, 2015 | F | 15,456 | $22.48 | D | 77,276 | D | |
| Common StockF2 | holding | — | — | — | 2,262 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes, as a result of acceleration of the Reporting Person's unvested equity awards in accordance with the Retirement and Advisory Agreement between the Reporting Person and the Issuer, which was filed as an exhibit to the Issuer's Form 8-K, filed with the SEC on January 20, 2015.
- F2Holdings under the Barnes & Noble, Inc. 401(k) Plan are reported in units. Therefore, the securities set forth in Column 5 of Table I are units. The number of units reported herein are based on a plan statement dated as of December 31, 2014. The Barnes & Noble, Inc. 401(k) Plan accounts for interests in the Barnes & Noble, Inc. Stock Fund in units consisting of shares of Barnes & Noble, Inc. common stock and a liquidity component. As a result, the number of underlying shares may fluctuate from time to time.