FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 08/06/2013 |
3. Issuer Name and Ticker or Trading Symbol
dELiAs, Inc. [ DLIA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.001 per share | 16,250 | D | |
Common Stock, par value $0.001 per share | 3,000 | I | By Spouse IRA(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | (2) | 01/04/2014 | Common Stock | 12,097 | $6.62 | D | |
Employee Stock Option (Right to Buy) | (3) | 01/31/2015 | Common Stock | 16,129 | $8.77 | D | |
Employee Stock Option (Right to Buy) | (4) | 10/27/2015 | Common Stock | 100,000 | $7.43 | D | |
Employee Stock Option (Right to Buy) | (5) | 03/29/2017 | Common Stock | 20,000 | $9.2 | D | |
Employee Stock Option (Right to Buy) | (6) | 03/16/2018 | Common Stock | 20,000 | $1.59 | D | |
Employee Stock Option (Right to Buy) | (7) | 05/14/2019 | Common Stock | 20,000 | $1.89 | D | |
Employee Stock Option (Right to Buy) | (8) | 03/21/2020 | Common Stock | 25,000 | $2.03 | D | |
Employee Stock Option (Right to Buy) | (9) | 03/23/2021 | Common Stock | 20,000 | $1.64 | D | |
Employee Stock Option (Right to Buy) | (10) | 03/27/2022 | Common Stock | 30,000 | $1.46 | D |
Explanation of Responses: |
1. The reporting person has an indirect ownership interest in 3,000 shares of common stock held directly by the reporting person's spouse in an IRA account. The reporting person disclaims beneficial ownership of all such shares of common stock, except to the extent of his pecuniary interest therein. |
2. The option is exercisable in four equal, annual installments. The first installment became exercisable on January 5, 2005, and the next three installments became exercisable on January 5, 2006, January 5, 2007 and January 5, 2008. |
3. The option is exercisable in four equal, annual installments. The first installment became exercisable on February 1, 2006, and the next three installments became exercisable on February 1, 2007, February 1, 2008 and February 1, 2009. |
4. The option is exercisable in four equal, annual installments. The first installment became exercisable on October 28, 2006, and the next three installments became exercisable on October 28, 2007, October 28, 2008 and October 28, 2009. |
5. The option is exercisable in four equal, annual installments. The first installment became exercisable on March 30, 2008, and the next three installments became exercisable on March 30, 2009, March 30, 2010 and March 30, 2011. |
6. The option is exercisable in four equal, annual installments. The first installment became exercisable on March 17, 2009, and the next three installments became exercisable on March 17, 2010, March 17, 2011 and March 17, 2012. |
7. The option is exercisable in four equal, annual installments. The first installment became exercisable on May 15, 2010, and the next three installments became exercisable on May 15, 2011, May 15, 2012 and May 15, 2013. |
8. The option is exercisable in four equal, annual installments. The first installment became exercisable on March 22, 2011, the next two installments became exercisable on March 22, 2012 and March 22, 2013, and the fourth installment becomes exercisable on March 22, 2014. |
9. The option is exercisable in four equal, annual installments. The first installment became exercisable on March 24, 2012, the second installment became exercisable on March 24, 2013, and the next two installments become exercisable on March 24, 2014 and March 24, 2015. |
10. The option is exercisable in four equal, annual installments. The first installment became exercisable on March 28, 2013, and the next three installments become exercisable on March 28, 2014, March 28, 2015 and March 28, 2016. |
Remarks: |
/s/ David Diamond | 08/08/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |