SEC Form 4 · accession 0000950138-16-000842
BARNES & NOBLE INC · BKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter M Herpich
Officer — VP, Corp.Contr.(Pr. Acc. Off.)
Period of report
Feb 6, 2016
Accepted (ET)
Feb 9, 2016 · 7:00 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,F2 | Feb 6, 2016 | F | 3,223 | $8.26 | D | 33,388 | D | |
| Common StockF1 | Feb 7, 2016 | F | 3,308 | $8.26 | D | 30,080 | D | |
| Common StockF3 | holding | — | — | — | 843 | 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.
- F2Includes additional unvested restricted stock units (payable solely in common stock of the Issuer on each vesting date) acquired by the Reporting Person as a result of the conversion associated with the Issuer's spin-off of Barnes & Noble Education, Inc., which was completed on August 2, 2015.
- F3Holdings 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, 2015. 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.