0000950138-14-000528.txt : 20140703 0000950138-14-000528.hdr.sgml : 20140703 20140703163051 ACCESSION NUMBER: 0000950138-14-000528 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140703 FILED AS OF DATE: 20140703 DATE AS OF CHANGE: 20140703 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BARNES & NOBLE INC CENTRAL INDEX KEY: 0000890491 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] IRS NUMBER: 061196501 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 BUSINESS ADDRESS: STREET 1: 122 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 2126333300 MAIL ADDRESS: STREET 1: 122 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KEATING MARY ELLEN CENTRAL INDEX KEY: 0001057419 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12302 FILM NUMBER: 14961064 MAIL ADDRESS: STREET 1: 122 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10011 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-07-03 0000890491 BARNES & NOBLE INC BKS 0001057419 KEATING MARY ELLEN C/O BARNES & NOBLE, INC. 122 FIFTH AVENUE NEW YORK NY 10011 0 1 0 0 Sr. VP Corp. Com. & Pub. Aff. Common Stock 2014-07-03 4 M 0 8750 15.78 A 62033 D Common Stock 2014-07-03 4 S 0 11199 22.88 D 50834 D Common Stock 3949.98 I By 401(k) Plan Stock Option (Right to Buy) 15.78 2014-07-03 4 M 0 8750 0 D 2021-11-14 Common Stock 8750 26250 D Holdings under the Barnes & Noble, Inc. 401(k) Plan are reported in units. Therefore, the securities set forth in Column 5 of Table I are units. The number of units reported herein are based on a plan statement dated as of June 30, 2014. The Barnes & Noble, Inc. 401(k) Plan accounts for interests in the Barnes & Noble, Inc. Stock Fund in units consisting of shares of Barnes & Noble, Inc. common stock and a liquidity component. As a result, the number of underlying shares may fluctuate from time to time. Twenty-five percent of these options became exercisable on November 15, 2013, 25% will become exercisable on November 15, 2014 and the remaining 50% will become exercisable on November 15, 2015. /s/ Mary Ellen Keating 2014-07-03