SEC Form 4 · accession 0000950138-15-000628
BARNES & NOBLE INC · BKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leonard Riggio
Officer — Chairman of the Board · Director · 10% Owner
Period of report
Sep 10, 2015
Accepted (ET)
Sep 14, 2015 · 8:33 am EDT
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 | Sep 10, 2015 | P | 650,000 | $12.6294 | A | 8,244,491 | D | |
| Common StockF2 | Sep 11, 2015 | P | 350,000 | $12.5191 | A | 8,594,491 | D | |
| Common StockF3 | holding | — | — | — | 3,029,141 | I | By Trust and Corp. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average share price. These shares were purchased in multiple transactions at per share prices ranging from $12.27 to $12.83, inclusive. The Reporting Person undertakes to provide to Barnes & Noble, Inc., any security holders of Barnes & Noble, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote 1 to this Form 4.
- F2The price reported in Column 4 is a weighted average share price. These shares were purchased in multiple transactions at per share prices ranging from $12.30 to $12.91, inclusive. The Reporting Person undertakes to provide to Barnes & Noble, Inc., any security holders of Barnes & Noble, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote 2 to this Form 4.
- F3Of these shares, 712,473 shares are owned indirectly in a rabbi trust established by the Issuer for the benefit of the Reporting Person, and the remaining 2,316,668 shares are owned indirectly through LRBKS Holdings, Inc., a Delaware corporation beneficially owned by the Reporting Person and his wife, Louise Riggio. An additional 1,428,500 shares are owned by The Riggio Foundation, a charitable trust of which Mr. and Mrs. Riggio are the co-trustees.