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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 | ||||||||
Performance Units (1) | $ 0 | 08/26/2013 | A | 100,000 | (4) | 08/26/2023 | Common Stock | 100,000 | $ 0 | 100,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCOTT GREGORY J 450 WEST 33RD STREET 5TH FLOOR NEW YORK, NY 10001 |
X | Chief Executive Officer |
Linda Gormezano, attorney-in-fact /s/ Linda Gormezano | 10/11/2013 | |
**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) | This is an amended filing to a Form 4 filed on August 28, 2013, which reported a performance-based award granted to the reporting person in Table I as opposed to Table II where it is now properly reported. |
(2) | As previously reported, on August 26, 2013, the reporting person was awarded 100,000 shares of restricted stock which vest on August 26, 2016. |
(3) | Includes 100,000 shares of restricted stock which vest on August 26, 2016; 100,000 shares of restricted stock which vest on April 16, 2015; and 200,000 shares of performance-based restricted stock which vest on the third anniversary of the grant date (February 15, 2011), subject to the Company achieving operating income within minimum, target and maximum operating income levels for the three fiscal years ending February 1, 2014. |
(4) | On August 26, 2013, the reporting person was awarded 100,000 performance units which vest ratably over a three-year period subject to the reporting person's continued employment and the Company achieving operating income for fiscal year 2013 within the approved minimum and target operating income levels. Each performance unit is convertible into one share of the Company's common stock upon vesting. |