0001209191-16-149057.txt : 20161109 0001209191-16-149057.hdr.sgml : 20161109 20161109162507 ACCESSION NUMBER: 0001209191-16-149057 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161107 FILED AS OF DATE: 20161109 DATE AS OF CHANGE: 20161109 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TILLY'S, INC. CENTRAL INDEX KEY: 0001524025 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-APPAREL & ACCESSORY STORES [5600] IRS NUMBER: 452164791 STATE OF INCORPORATION: DE FISCAL YEAR END: 0201 BUSINESS ADDRESS: STREET 1: 10 WHATNEY CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: (949) 609-5599 MAIL ADDRESS: STREET 1: 10 WHATNEY CITY: IRVINE STATE: CA ZIP: 92618 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEVINE TILLY CENTRAL INDEX KEY: 0001548775 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35535 FILM NUMBER: 161984560 MAIL ADDRESS: STREET 1: C/O TILLY'S, INC. STREET 2: 10 WHATNEY CITY: IRVINE STATE: CA ZIP: 92618 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-11-07 0 0001524025 TILLY'S, INC. TLYS 0001548775 LEVINE TILLY C/O TILLY'S, INC. 10 WHATNEY IRVINE CA 92618 0 0 1 0 Class A Common Stock 2016-11-07 4 C 0 15000 0.00 A 15000 D Class A Common Stock 2016-11-07 4 S 0 15000 9.5298 D 0 D Class A Common Stock 2016-11-08 4 C 0 15000 0.00 A 15000 D Class A Common Stock 2016-11-08 4 S 0 15000 9.2341 D 0 D Class B Common Stock 2016-11-07 4 C 0 15000 0.00 D Class A Common Stock 15000 4668147 D Class B Common Stock 2016-11-08 4 C 0 15000 0.00 D Class A Common Stock 15000 4653147 D Class B Common Stock Class A Common Stock 424386 424386 I By Trust 1 Class B Common Stock Class A Common Stock 424386 424386 I By Trust 2 The shares reported herein are held in The Tilly Levine Separate Property Trust under which the Reporting Person is trustee and beneficiary. The Reporting Person is a party to a voting trust agreement with Hezy Shaked, an officer and director of the Issuer, granting Mr. Shaked, as trustee under such agreement, the right to vote the shares of Class A Common Stock and Class B Common Stock held by the Reporting Person (collectively, the "Shares"). Mr. Shaked does not have any pecuniary interest in such Shares and thus disclaims beneficial ownership of such Shares. The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by The Tilly Levine Separate Property Trust, of which the Reporting Person is trustee and beneficiary, on April 1, 2016 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.26 to $9.93, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.12 to $9.32, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Class B Common Stock has no expiration date and, subject to certain events, is automatically convertible on a one-for-one basis into shares of Class A Common Stock. Represents shares of Class B Common Stock held by trusts of which the Reporting Person is trustee and an immediate family member is the beneficiary. The Reporting Person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein, if any. /s/ Michael L. Henry, Attorney-in-Fact for Tilly Levine 2016-11-09