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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | $ 0 | 12/05/2013 | M | 19,465 | 12/05/2013(2) | (2) | Common Stock | 19,465 | $ 0 | 0 | D | ||||
Stock Options (right to buy) | $ 3.07 | 12/03/2011 | 12/03/2020 | Common Stock | 10,000 | 10,000 | D | ||||||||
Stock Options (right to buy) | $ 3.75 | 02/08/2011 | 02/08/2020 | Common Stock | 5,000 | 5,000 | D | ||||||||
Restricted Stock Units | $ 0 (3) | 11/18/2009(3) | (3) | Common Stock | 4,902 | 4,902 | D | ||||||||
Stock Options (right to buy) | $ 21.29 | 11/14/2008 | 11/14/2017 | Common Stock | 3,800 | 3,800 | D | ||||||||
Stock Options (right to buy) | $ 29.4 | 11/15/2007 | 11/15/2016 | Common Stock | 3,800 | 3,800 | D | ||||||||
Stock Options (right to buy) | $ 27.03 | 11/11/2006 | 11/11/2015 | Common Stock | 3,800 | 3,800 | D | ||||||||
Stock Options (right to buy) | $ 29.5675 | 03/04/2005 | 03/04/2014 | Common Stock | 10,000 | 10,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LOWE JOHN B JR C/O ZALE CORPORATION 901 WEST WALNUT HILL LANE IRVING, TX 75038 |
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/s/ John B. Lowe, Jr. | 12/09/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents the vesting of restricted stock units as described in footnote 2 below. No shares were bought or sold on the open market. |
(2) | Restricted stock units granted under Zale Corporation 2011 Omnibus Incentive Compensation Plan that vest as to 100% of the units on the one-year anniversary of the date of grant or, if earlier, the date of the next annual meeting of stockholders of Zale Corporation following the date of grant. Upon vesting, the holder will be entitled to receive one share of common stock for each unit, unless the Board of Directors determines that payment shall be made in cash. This transaction represents the vesting of 100% of this grant. |
(3) | Restricted stock units granted under the Plan that vested on November 18, 2009. The holder will be entitled to receive one share of common stock for each unit, unless the Board of Directors determines that payment shall be made in cash. The holder has elected to defer delivery of any shares that would be due by virtue of vesting until the date that is six months following his separation from service on the Company's Board. |