-----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, R9EIucbiwUjgPKigs9eLlUCb8zdVYXT+wJp6zgbmB1LOLt4raaaUA1QSJcYVrR96 6HcMxt6jkW9E/WCtqqwCsQ== 0000910643-00-000057.txt : 20000410 0000910643-00-000057.hdr.sgml : 20000410 ACCESSION NUMBER: 0000910643-00-000057 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000328 FILED AS OF DATE: 20000407 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: 3 SEC ACT: SEC FILE NUMBER: 001-12302 FILM NUMBER: 595536 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: OCONNELL MAUREEN CENTRAL INDEX KEY: 0001111318 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 122 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 2126333338 3 1
FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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* 2. Date of Event Re- 4. Issuer Name and Ticker or Trading Symbol quiring Statement O'Connell Maureen (Month/Day/Year) Barnes & Noble, Inc. Symbol = BKS - ---------------------------------------- (Last) (First) (Middle) 3/28/2000 5. Relationship of Reporting Persons 6. If Amendment, to Issuer (Check all applicable) Date of Original c/o Barnes & Noble, Inc. 3. I.R.S. Identification (Month/Day/Year) 122 Fifth Avenue Number of Reporing __ Director __ 10% Owner - --------------------------------------- Person, if an entity (Street) (voluntary) X Officer (give __ Other (specify 7. Individual or Joint/ New York NY 10011 title below) below) Group Filing (Check - --------------------------------------- Applicable Line) (City) (State) (Zip) Chief Financial Officer X Form filed by One Reporting Person __ Form filed by More than One Reporting Person
Table 1 - Non-Derivative Securities Beneficially Owned 1. Title of Security 2. Amount of Securities 3. Ownership Form: Direct 4. Nature of Indirect Beneficial (Instr. 4) Beneficially Owned (D) or Indirect (I) Ownership (Instr. 5) (Instr. 4) (Instr. 5) None *If the form is filed by more than one reporting person, see Instruction 5(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) (Print or Type Responses)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative 2. Date Exercisable 3. Title and Amount of 4. Conversion or 5. Ownership 6. Nature of Security (Instr. 4) and Expiration Date Securities Underlying Exercise Price Form of Deri- Indirect - ----------------------- (Month/Day/Year) Derivative Security of Derivative vative Sec- Beneficial (Instr. 4) Security urity: Dir- Ownership --------------------- ---------------------- ect (D) or In (Instr. 5) Expira- Amount Direct (I) Date Exer- tion or Number (Instr. 5) cisable Date Title of Shares --------- ------- ------------- --------- -------------- -------------- --------------- Stock Option (Right (2) 3/06/10 Common Stock 200,000 $16.75 D to Buy)(1) Explanation of Responses: (1) Granted under Barnes & Noble, Inc. 1996 Incentive Plan in transaction exempt under Rule 16b-3. (2) One-fourth of these options become exercisable on March 7 of each of the years 2001 through 2004. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Maureen O'Connell April 5, 2000 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). --------------------------- ------------- **Signature of Reporting Person Date Maureen O'Connell Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. (Print or Type Responses) Page 2
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