|
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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Appreciation Right (right to buy) | $ 4.7 | 06/14/2012 | D | 202,429 (4) | (5) | 07/07/2015 | Common Stock | 202,429 | $ 7.35 | 0 | D | ||||
Stock Appreciation Right (right to buy) | $ 1.57 | 06/14/2012 | D | 175,000 (4) | (6) | 03/22/2016 | Common Stock | 175,000 | $ 7.35 | 0 | D | ||||
Stock Appreciation Right (right to buy) | $ 5.18 | 06/14/2012 | D | 66,936 (4) | (7) | 04/04/2017 | Common Stock | 66,936 | $ 7.35 | 0 | D | ||||
Stock Appreciation Right (right to buy) | $ 4 | 06/14/2012 | D | 200,000 (4) | (8) | 03/28/2018 | Common Stock | 200,000 | $ 7.35 | 0 | D | ||||
Stock Appreciation Right (right to buy) | $ 6.04 | 06/14/2012 | D | 51,392 (4) | (9) | 04/01/2019 | Common Stock | 51,392 | $ 7.35 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WOOLF BRIAN 450 WINKS LANE BENSALEM, PA 19020 |
Group President - Lane Bryant |
Brian Woolf | 06/14/2012 | |
**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) | Disposition of shares in tender offer which constitutes a change in control for cash consideration equal to $7.35 per share. |
(2) | Issuance of shares in settlement of performance share units for no cash consideration in a transaction exempt under Rule 16b-3(d). |
(3) | Disposition pursuant to a merger for cash consideration equal to $7.35 per share in a transaction excempt under Rule 16b-3(e). |
(4) | SAR canceled pursuant to a merger in exchange for cash consideration equal to the difference between $7.35 and the exercise price of the SAR multiplied by the number of SARs canceled. This transaction is exempt under Rule 16b-3(e). The merger became effective on the transaction date. |
(5) | This SAR (granted 7/8/2008) became exercisable as to one-third of the shares on the third anniversary of the date of grant and each of the two remaining one-third vestings of the shares upon effectiveness of the merger. |
(6) | This SAR (granted 3/23/2009) became exercisable as to 40% of the shares on the second anniversary of the date of grant, 30% of the shares on the third anniversary of the date of grant and the remaining 30% of the shares upon effectiveness of the merger. |
(7) | This SAR (granted 4/5/2010) became exercisable as to 25% of the shares on the first and second anniversaries of the date of grant and each of the two remaining 25% vestings of the shares upon effectiveness of the merger. |
(8) | This SAR (granted 3/29/2011) became exercisable as to 25% of the shares on the first anniversary of the date of grant and each of the three remaining 25% vestings of the shares upon effectiveness of the merger. |
(9) | This SAR (granted 4/2/2012) became exercisable as to all of the shares upon effectiveness of the merger. |