SEC Form 4 · accession 0000897429-15-000057
CHICOS FAS INC · CHS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kent A Kleeberger
Officer — EVP- COO
Period of report
Feb 27, 2015
Accepted (ET)
Mar 3, 2015 · 6:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000897429
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 27, 2015 | M | 35,000 | $10.49 | A | 271,632 | D | |
| Common Stock | Feb 27, 2015 | M | 20,000 | $7.42 | A | 291,632 | D | |
| Common StockF1 | Feb 27, 2015 | S | 55,000 | $18.0922 | D | 236,632 | D | |
| Common Stock | Mar 1, 2015 | F | 3,093 | $18.23 | D | 233,539 | D | |
| Common Stock | Mar 2, 2015 | M | 20,000 | $13.78 | A | 253,539 | D | |
| Common Stock | Mar 2, 2015 | M | 30,000 | $13.69 | A | 283,539 | D | |
| Common StockF3 | Mar 2, 2015 | S | 50,000 | $17.9878 | D | 233,539 | D | |
| Common StockF4 | Mar 2, 2015 | S | 7,200 | $18.175 | D | 226,339 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionsF5 | $10.49 | Feb 27, 2015 | M | 35,000 | D | — | Dec 7, 2017 | Common Stock | 35,000 | 5,000 | D |
| Employee Stock OptionsF6 | $7.42 | Feb 27, 2015 | M | 20,000 | D | — | Mar 7, 2018 | Common Stock | 20,000 | 0 | D |
| Employee Stock OptionsF7 | $13.78 | Mar 2, 2015 | M | 20,000 | D | — | Feb 25, 2020 | Common Stock | 20,000 | 0 | D |
| Employee Stock OptionsF8 | $13.69 | Mar 2, 2015 | M | 30,000 | D | — | Feb 24, 2021 | Common Stock | 30,000 | 10,000 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $18.09 to $18.12. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2Transaction involving a disposition to the Company of equity securities to satisfy tax withholding obligations in connection with the vesting of restricted stock.
- F3This transaction was executed in multiple trades at prices ranging from $17.92 to $18.11. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4This transaction was executed in multiple trades at prices ranging from $18.1501 to $18.20. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F5Vests 1/3 each year beginning on 12/7/2008.
- F6Vests 1/3 each year beginning on 3/7/2009.
- F7Vests 1/3 each year beginning on 2/25/2011.
- F8Vests 1/3 each year beginning on 2/24/2012.