SEC Form 4 · accession 0000098246-17-000118
TIFFANY & CO · TIF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John S Barresi
Officer — VP-PRINC. ACCTG. OFF
Period of report
Apr 10, 2017
Accepted (ET)
Apr 12, 2017 · 4:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000098246
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock $.01 ParF1 | holding | — | — | — | 4,173 | D | ||
| Common Stock $.01 Par | holding | — | — | — | 258 | I | BY 401K | |
| Common Stock $.01 Par | holding | — | — | — | 39 | I | BY ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Dividend Equivalent UnitsF2,F3 | — | Apr 10, 2017 | A | 4 | A | — | — | Common Stock $.01 Par | 4 | 4 | D |
Explanation of responses
- F13,198 shares in the total are unvested restricted stock units.
- F2Represents dividend equivalent units accrued on April 10, 2017 in respect of restricted stock units granted to the reporting person on March 15, 2017 pursuant to the Tiffany & Co. 2014 Employee Incentive Plan, which complies with Rule 16b-3. The dividend equivalent units convert to the issuer's common stock on a one-for-one basis.
- F3The dividend equivalent units will vest proportionately with the underlying restricted stock units to which they relate. The dividend equivalent units credited in respect of the restricted stock units granted on March 15, 2017, will vest in four equal annual installments on March 15, 2018, 2019, 2020 and 2021.