-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NJW/H712QzEvovtEVpKmIOWf1altkAYzD4cz/k5PDIH/hYGyd0Li7d0OrG1mqrFQ y8lxocmXtY6ZUOe9O44aFw== 0000889812-97-000652.txt : 19970311 0000889812-97-000652.hdr.sgml : 19970311 ACCESSION NUMBER: 0000889812-97-000652 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970228 FILED AS OF DATE: 19970310 SROS: NYSE SUBJECT COMPANY: 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: 0129 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12302 FILM NUMBER: 97553170 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 COMPANY DATA: COMPANY CONFORMED NAME: BARNES & NOBLE INC CENTRAL INDEX KEY: 0000890491 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] OWNER IRS NUMBER: 061196501 STATE OF INCORPORATION: DE FISCAL YEAR END: 0129 FILING VALUES: FORM TYPE: 4 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 4 1 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP / / Check box if no longer subject to Sec- tion 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b) Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person* Riggio, Leonard (Last) (First) (Middle) 122 Fifth Avenue (Street) New York, New York 10011 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Barnes & Noble, Inc. Symbol=BKS 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year February 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) X Director X 10% Owner - --- --- X Officer (give Other (specify below) - --- title below) --- Chairman of the Board and Chief Executive Officer 8. Individual or Joint/Group Filing (Check applicable line) X Form filed by one Reporting Person - --- - --- Form filed by more than one Reporting Person
Table I-- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 2. Transaction Date 3. Transaction Code 4. Securities Acquired (A) or Disposed 1. Title of Security (Month/ (Instr. 8) of (D) (Instr. 3, 4, and 5) (Instr. 3) Day/Year) ------------------- ------------------------------------------ - --------------------- ------------------- Code V Amount (A) or (D) Price ---- ------- ------ --------- -------- Common Stock, par value $.001 2/25/97 P 10,000 A $30.850 Common Stock, par value $.001 2/25/97 P 26,100 A $30.975 Common Stock, par value $.001 2/25/97 P 50,000 A $31.100 5. Amount of Securities 6. Ownership Form: 7. Nature of Indirect 1. Title of Security Beneficially Owned at Direct (D) or Beneficial Ownership (Instr. 3) End of Month (Instr. 3 and 4) Indirect (I) (Instr. 4) (Instr. 4) - --------------------- -------------------------------- --------------------------- -------------------------- Common Stock, par value $.001 D Common Stock, par value $.001 D Common Stock, par value $.001 5,812,376*** D
* If the Form is filed by more than one Reporting Person, See Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
2. Conversion or 3. Transaction Date 4. Transaction Code 1. Title of Derivative Exercise Price of (Month/ (Instr. 8) Security (Instr. 3) Derivative Security Day/Year) ------------------- - --------------------- ---------------------- ------------------- Code V ---- ------- 1. Title of Derivative 5. Number of Derivative 6. Date Exercisable 7. Title and Amount of Security (Instr.3) Securities Acquired (A) or Disposed and Expiration Date Underlying Securities of (D) (Instr. 3, 4, and 5) (Month/Day/Year) (Instr. 3 and 4) - -------------------------- ------------------------------------- --------------------------- ------------------------ Amount or Date Expiration Number of (A) (D) Excercisable Date Title Shares -------- --------- ------------ ----------- ----- ---------- 1. Title of Derivative 8. Price of Derivative 9. Number of Derivative 10. Ownership Form 11. Nature of Security (Instr.3) Security (Instr. 5) Securities Beneficially of Derivative Indirect Owned at End of Month Security: Direct Beneficial (Instr. 4) (D) or Indirect (I) Ownership (Instr. 4) (Instr. 4) - ------------------------ ------------------------- ---------------------------- ------------------------ ----------------
Explanation of Responses: *** Of which 4,486,209 shares are owned directly and 1,326,167 shares are owned by Barnes & Noble College Bookstores, Inc., a corporation of which all of the currently outstanding voting securities are owned by the Reporting Person. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Leonard Riggio March 7, 1997 --------------------- --------------- Leonard Riggio **Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----