SEC Form 4 · accession 0000950138-18-000479
BARNES & NOBLE INC · BKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary Ellen Keating
Officer — Sr. VP Corp. Com. & Pub. Aff.
Period of report
Jul 13, 2018
Accepted (ET)
Jul 17, 2018 · 5:21 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, 2018 | F | 2,772 | $5.40 | D | 61,661 | D | |
| Coimmon StockF1 | Jul 14, 2018 | F | 1,625 | $5.40 | D | 60,036 | D | |
| Common StockF1 | Jul 15, 2018 | F | 1,105 | $5.40 | D | 58,931 | D | |
| Common StockF2 | Jul 15, 2018 | A | 4,813 | $0.00 | A | 63,744 | D | |
| Common StockF3 | Jul 15, 2018 | F | 2,615 | $5.40 | D | 61,129 | D | |
| Common StockF4 | holding | — | — | — | 4,823 | 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.
- F2Shares issued upon vesting of performance-based restricted stock units.
- F3Shares withheld by the Issuer on vesting of performance-based restricted stock units to cover applicable withholding taxes.
- F4Holdings 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, 2018. 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.