SEC Form 4 · accession 0000950138-17-000324
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
Mar 16, 2017
Accepted (ET)
Mar 16, 2017 · 4:31 pm 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 Stock | Dec 15, 2016 | G | 1,000,000 | $0.00 | D | 7,594,491 | D | |
| Common Stock | Mar 16, 2017 | J | 712,473 | $0.00 | A | 8,306,964 | D | |
| Common StockF3 | holding | — | — | — | 2,316,668 | I | By Corp. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Gift of 1,000,000 shares to The Riggio Foundation.
- F2This Form 4 is being filed to reflect the transfer to the Reporting Person on March 16, 2017 of the 712,473 shares formerly held in a rabbi trust established by the Issuer in 2003 for the benefit of the Reporting Person. Those shares, which were previously reported as owned indirectly, are now owned directly.
- F3These 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 2,428,500 shares (which include the 1,000,000 shares referred to in Note 1 above) are owned by The Riggio Foundation, a charitable trust of which Mr. and Mrs. Riggio are the co-trustees.