SEC Form 4 · accession 0001167503-15-000002
GUESS INC · GES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maurice Marciano
Director · 10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 8:49 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000912463
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Sep 4, 2014 | G | 293,125 | $0.00 | D | 0 | I | By Next Step GRAT III |
| Common StockF3 | Sep 8, 2014 | G | 83,937 | $0.00 | A | 136,201 | I | By Exempt G2 Trust |
| Common StockF4 | Oct 15, 2014 | G | 66,880 | $0.00 | A | 264,384 | I | By G2 Trust |
| Common StockF1 | Dec 31, 2014 | F | 1,435 | $21.08 | D | 20,424 | D | |
| Common StockF1,F5 | holding | — | — | — | 6,522,098 | I | By MM Trust | |
| Common StockF6 | holding | — | — | — | 103,801 | I | By Next Step Capital, LLC | |
| Common StockF1,F7 | holding | — | — | — | 554,940 | I | By Next Step Capital II, LLC | |
| Common StockF8 | holding | — | — | — | 1,500,000 | I | By CAROLEM Capital, LLC | |
| Common StockF9 | holding | — | — | — | 70 | I | By trust | |
| Common StockF1,F10 | holding | — | — | — | 349,491 | I | By MM Special Exempt Trust | |
| Common StockF1,F11 | holding | — | — | — | 2,000,000 | I | by MM CRUT, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects changes in form of ownership that are exempt pursuant to Rule 16a-13 under the Securities Exchange Act of 1934 since there was no change in pecuniary interest.
- F10Shares are held by Maurice Marciano Special Exempt Trust, of which the reporting person has sole investment power.
- F11Shares are held by MM CRUT, LLC.
- F2Shares are held by Next Step GRAT III, of which the reporting person has sole investment power.
- F3Shares are held by Exempt G2 Trust, of which the reporting person is sole trustee. The reporting person disclaims beneficial ownership of these shares, except to the extent of the reporting person's pecuniary interest therein.
- F4Shares are held by G2 Trust, of which the reporting person is sole trustee. The reporting person disclaims beneficial ownership of these shares, except to the extent of the reporting person's pecuniary interest therein.
- F5Shares are held by the Maurice Marciano Trust (2006 Restatement), a revocable trust of which the reporting person is the sole trustee and sole beneficiary and has the exclusive pecuniary interest.
- F6Shares are held by Next Step Capital, LLC in accounts specifically allocated to trusts for the benefit of the reporting person and certain others. The reporting person disclaims beneficial ownership of these shares, except to the extent of the reporting person's pecuniary interest therein.
- F7Shares are held by Next Step Capital II, LLC in accounts specifically allocated to trusts for the benefit of the reporting person and certain others. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest therein.
- F8Shares are held by CAROLEM Capital, LLC in accounts specifically allocated to trusts for the benefit of the reporting person and his children. The reporting person disclaims beneficial ownership of these shares, except to the extent of the reporting person's pecuniary interest therein.
- F9Shares are held by Maurice Marciano Gift Trust FBO Caroline Marciano, of which the reporting person is the sole trustee.