SEC Form 4 · accession 0000950138-17-000571
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
Jul 13, 2017
Accepted (ET)
Jul 17, 2017 · 2:24 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 StockF1 | Jul 13, 2017 | A | 15,306 | $0.00 | A | 33,033 | D | |
| Common StockF2 | holding | — | — | — | 919 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of restricted stock units (payable solely in common stock of the Issuer on each vesting date), vesting in three equal annual installments on July 13 of each of the years 2018 through 2020.
- 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 June 30, 2017. 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.