|
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 Options | $ 11.8 | 10/10/2013 | D(3) | 13,740 | 07/24/2013 | 07/24/2019 | Common Stock | 13,740 | $ 0 | 0 | D | ||||
Stock Options | $ 34.27 | 10/10/2013 | D(3) | 15,000 | (3) | 04/05/2020 | Common Stock | 15,000 | $ 7.73 (3) | 0 | D | ||||
Stock Options | $ 30.12 | 10/10/2013 | D(3) | 13,500 | (3) | 05/01/2021 | Common Stock | 13,500 | $ 11.88 (3) | 0 | D | ||||
Stock Options | $ 27.26 | 10/10/2013 | D(3) | 5,000 | (3) | 03/19/2022 | Common Stock | 5,000 | $ 14.74 (3) | 0 | D | ||||
Stock Options | $ 27.79 | 10/10/2013 | D(3) | 8,451 | (3) | 03/26/2023 | Common Stock | 8,451 | $ 14.21 (3) | 0 | D | ||||
Restricted Stock Units | (4) | 10/10/2013 | D(4) | 2,167 | (4) | (5) | Common Stock | 2,167 | $ 42 (4) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Thomson Robert R. RUE21, INC. 800 COMMONWEALTH DR WARRENDALE, PA 15086 |
Senior VP of Real Estate |
/s/ Stacy Siegal, Attorney-in-Fact | 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) | Pursuant to the Contribution Agreement by and among Rhodes Holdco, Inc. ("Parent"), Rhodes Holdings, L.P. ("Holdco"), and the Reporting Person, dated as of October 9, 2013, the Reporting Person contributed these shares of Common Stock to Holdco in exchange for limited partnership units in Holdco. Each of the shares of Common Stock contributed to Holdco was valued at $42 in the transaction. |
(2) | Pursuant to the Agreement and Plan of Merger by and among rue21, inc., Parent, and Rhodes Merger Sub, Inc., dated as of May 23, 2013 (the "Merger Agreement"), on the effective date of the merger contemplated by the Merger Agreement (the "Merger"), each of these shares of Common Stock, restricted stock units, and earned performance share units was automatically converted into the right to receive a cash payment of $42.00. |
(3) | Pursuant to the Merger Agreement, on the effective date of the Merger, each of these Stock Options, whether vested or unvested, was cancelled in exchange for a cash payment representing the excess of $42.00 over the exercise price of the Stock Option. |
(4) | Pursuant to the Merger Agreement, on the eeffective date of the Merger, each of these unvested Restricted Stock Units previously reported on Table II was cancelled in exchange for a cash payment of $42.00. |
(5) | Each of these unvested Restricted Stock Units previously reported on Table II represented a contingent right to receive one share of Common Stock. |