0001144204-11-068357.txt : 20111205 0001144204-11-068357.hdr.sgml : 20111205 20111205162128 ACCESSION NUMBER: 0001144204-11-068357 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111201 FILED AS OF DATE: 20111205 DATE AS OF CHANGE: 20111205 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ICONIX BRAND GROUP, INC. CENTRAL INDEX KEY: 0000857737 STANDARD INDUSTRIAL CLASSIFICATION: FOOTWEAR, (NO RUBBER) [3140] IRS NUMBER: 112481903 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1450 BROADWAY, 4TH FL CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 212-730-0030 MAIL ADDRESS: STREET 1: 1450 BROADWAY, 4TH FL CITY: NEW YORK STATE: NY ZIP: 10018 FORMER COMPANY: FORMER CONFORMED NAME: CANDIES INC DATE OF NAME CHANGE: 19930604 FORMER COMPANY: FORMER CONFORMED NAME: MILLFELD TRADING CO INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COLE NEIL CENTRAL INDEX KEY: 0000944791 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10593 FILM NUMBER: 111243258 MAIL ADDRESS: STREET 1: 1450 BROADWAY, 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 4 1 v242387_4.xml OWNERSHIP DOCUMENT X0304 4 2011-12-01 0 0000857737 ICONIX BRAND GROUP, INC. ICON 0000944791 COLE NEIL C/O ICONIX BRAND GROUP, INC. 1450 BROADWAY NEW YORK NY 10018 1 1 0 0 CEO and President Common Stock 2011-12-01 4 M 0 48700 2.75 A 1766679 D Common Stock 2011-12-01 4 S 0 48700 17.04 D 1717979 D Common Stock 2011-12-02 4 M 0 99442 2.75 A 1817421 D Common Stock 2011-12-02 4 S 0 99442 17.04 D 1717979 D Common Stock 20000 I As custodian for children Common Stock 15194 I By 401(K) Plan Employee Stock Option (Right to Buy) 2.75 2011-12-01 4 M 0 48700 0 D 2002-04-23 2012-04-23 Common Stock 48700 351300 D Employee Stock Option (Right to Buy) 2.75 2011-12-02 4 M 0 99442 0 D 2002-04-23 2012-04-23 Common Stock 99442 251858 D The reported sales transactions were executed pursuant to a Sales Plan with a brokerage firm under Rule 10b5-1 of the Securities Exchange Act of 1934. Mr. Cole's 10b5-1 plan was implemented because of the short duration remaining on previously granted ten-year stock options covered by the 10b5-1 plan and applies only to options that expire by their terms on or before May 22, 2012. The reported sales transactions were executed in multiple trades at prices ranging from $17.00 to $17.20. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were affected. The reported sales transactions were executed in multiple trades at prices ranging from $17.00 to $17.24. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were affected. Includes 1,181,684 unissued shares underlying RSUs that were granted to the reporting person pursuant to the terms of his 2008 employment agreement with the issuer and a related RSU Agreement. The filing of this Statement shall not be construed to mean that the reporting person is, for the purposes of Section 16 of the Securities and Exchange Act of 1934 (as amended), the beneficial owner of the common stock of the issuer reported as indirectly owned by the reporting person as custodian for his children. /s/ Andrew Tarshis, Attorney-In-Fact 2011-12-05