0000950138-16-001482.txt : 20161128 0000950138-16-001482.hdr.sgml : 20161128 20161128131359 ACCESSION NUMBER: 0000950138-16-001482 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161123 FILED AS OF DATE: 20161128 DATE AS OF CHANGE: 20161128 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: Herpich Peter M CENTRAL INDEX KEY: 0001592920 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12302 FILM NUMBER: 162019284 MAIL ADDRESS: STREET 1: C/O BARNES & NOBLE, INC. STREET 2: 122 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10104 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-11-23 0000890491 BARNES & NOBLE INC BKS 0001592920 Herpich Peter M C/O BARNES & NOBLE, INC. 122 FIFTH AVENUE NEW YORK NY 10011 0 1 0 0 VP, Corp.Contr.(Pr. Acc. Off.) Common Stock 2016-11-23 4 S 0 16369 12.8452 D 21931 D Common Stock 878.275 I By 401(k) Plan The price reported in Column 4 is a weighted average share price. These shares were sold in multiple transactions at prices ranging from $12.65 to $ 12.959683, inclusive. The reporting person undertakes to provide to Barnes & Noble, Inc., any security holders of Barnes & Noble, Inc. 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 footnote 1 to this Form 4. 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 September 30, 2016. 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. /s/ Peter M. Herpich 2016-11-28