-----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, PbYJJzv+wVXUcbBxVxcmEH2G+YtEnOGjjA8wHCGxiW5aEBoSr3XbCYCYbaUcNAIN Ms+42D+hEx1idX4xROBB1g== 0000910643-00-000037.txt : 20000315 0000910643-00-000037.hdr.sgml : 20000315 ACCESSION NUMBER: 0000910643-00-000037 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000131 FILED AS OF DATE: 20000314 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: 0130 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-12302 FILM NUMBER: 568843 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: KEATING MARY ELLEN CENTRAL INDEX KEY: 0001057419 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OFFICER STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 122 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10011 MAIL ADDRESS: STREET 1: 122 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10011 5 1
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [ ] Form 3 Holdings Reported [ ] Form 4 Transactions Reported. 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Issuer (Check all applicable) Keating Mary Ellen Barnes & Noble, Inc. Symbol = BKS __________________________________________ _____________________________________________ Director 10% Owner --- --- (Last) (First) (Middle) 3. IRS or Social 4. Statement for X Officer (give Other (Specify Security Number of Month/Year --- title below) --- below) c/o Barnes & Noble, Inc. Reporting Person Senior Vice President, Corporate 122 Fifth Avenue (Voluntary) 01/00 Communications and Public Affairs __________________________________________ ______________________________________________________________ (Street) 5. If Amendment, Date of 7. Individual or Joint/Group Filing New York New York 10011 Original (Month/Year) (Check applicable line) __________________________________________ _X_ Form Filed by one Reporting Person (City) (State) (Zip) Form Filed by more than one --- Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 5. Amount of Securi- ties Bene- ficially 4. Securities Acquired (A) Owned at 6. Ownership 2. Trans- 3. Trans- or Disposed of (D) End of Form: action action (Instr. 3, 4 and 5) Issuer's Direct 7. Nature of Date Code --------------------------- Fiscal (D) or Indirect Month/ (Instr. 8) (A) Year Indirect Beneficial 1. Title of Security Day/ Amount or Price (Instr. (I) Ownership (Instr.3) Year) (D) 3 and 4) (Instr. 4) (Instr. 4) - ----------------------------- --------- ---------- -------- --- -------- ------------ ------------- ------------- * 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 of indirectly. (Print or Type Responses)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 2. Conver- 5. Number of Deriv- 6. Date Exercisable sion or 3. Trans- ative Securities and Expiration Date Exercise action Acquired (A) or (Month/Day/Year) Price of Date 4. Trans- Disposed of (D) ----------------------- Deriv- (Month/ action (Instr. 3, 4, and 5) Date 1. Title of Derivative Security ative Day/ Code ----------------------- Exercis- Expiration (Instr. 3) Security Year) (Instr. 8) A D able Date - ---------------------------------- ----------- ---------- ------------ ----------- ----------- ---------- ---------- Stock Option (Right to Buy) $26.00 03/09/99 A 14,940 (1) 03/08/09 Stock Option (Right to Buy) $19.4375 01/05/00 A 25,000 (2) 01/04/10
9. Number of 10. Ownership Derivative Form of 7. Title and Amount of Underlying Securities Derivative Securities (Instr. 3 and 4) Beneficially Security: 11. Nature of --------------------------------- 8. Price of Owned Direct (D) Indirect Amount or Derivative at End or Beneficial 1. Title of Derivative Title Number of Security of Year Indirect (I) Ownership Security (Instr. 3) Shares (Instr. 5) (Instr. 4) (Instr. 4) (Instr. 4) - ---------------------- -------------------- --------- ------------- ------------- -------------- -------------- Stock Option (Right to Buy) Common Stock 14,940 Stock Option (Right to Buy) Common Stock 25,000 89,940(3) D Explanation of Responses: (1) One-fourth of these options become exercisable on March 9 of each of the years 2000 through 2003. (2) One-fourth of these options become exercisable on January 5 of each of the years 2001 through 2004. (32) This amount represents the total number of stock options (right to buy) beneficially owned by the Reporting Person with respect to the Issuer's Common Stock. /s/ Mary Ellen Keating March 10, 2000 **Intentional misstatements or omissions of facts constitute ------------------------------- -------------- Federal Criminal Violations. See 18 U.S.C. 1001 and **Signature of Reporting Person Date 15 U.S.C. 78ff(a). Mary Ellen Keating 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 SEC 1474 (8-92)
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