-----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, VKDPcn2CihxA4ygkh2ymBGPsSbvRlv75dhZ6GbfsNsybotncOXdVljQN5zQFmWyY CCzacVOhGFfhLZ7a8cl3eg== 0000910643-97-000071.txt : 19970617 0000910643-97-000071.hdr.sgml : 19970617 ACCESSION NUMBER: 0000910643-97-000071 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970604 FILED AS OF DATE: 19970616 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12302 FILM NUMBER: 97624669 BUSINESS ADDRESS: STREET 1: 1400 OLD COUNTRY ROAD CITY: WESTBURY STATE: NY ZIP: 11590-5130 BUSINESS PHONE: 5163388119 MAIL ADDRESS: STREET 1: 1400 OLD COUNTRY ROAD CITY: WESTBURY STATE: NY ZIP: 590-5130 COMPANY DATA: COMPANY CONFORMED NAME: DEASON DAVID S CENTRAL INDEX KEY: 0001038870 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O BARNES & NOBLE INC STREET 2: 122 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 2126333300 MAIL ADDRESS: STREET 1: C/O BARNES & NOBLE INC STREET 2: 122 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10011 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* Deason, David S. (Last) (First) (Middle) c/o Barnes & Noble, Inc. 122 Fifth Avenue (Street) New York New York 10011 (City) (State) (Zip) 2. Date of Event Re- quiring Statement (Month/Day/Year) 6/4/97 3. IRS or Social Se- curity Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol Barnes & Noble, Inc. (BKS) 5. Relationship of Reporting Person to Issuer (Check all applicable) _____ Director _____ 10% Owner X Officer (give _____ Other (specify title below) below) Vice President-Real Estate 6. If Amendment, Date of Original (Month/Day/Year) 7. Individual or Joint/Group Filing (check applicable line) X Form filed by One Reporting Person --- --- Form filed by more than One Reporting Person
Table 1 - Non-Derivative Securities Beneficially Owned 2. Amount of Securities 3. Ownership Form: Direct 4. Nature of Indirect 1. Title of Security Beneficially Owned (D) or Indirect (I) Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5) S>
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 and 3. Title and Amount of 5. Ownership Security (Instr. 4) Expiration Date Securities Underlying Form of Deri- - ----------------------- (Month/Day/Year) Derivative Security vative Sec- 6. Nature of ____________________ (Instr. 4) 4. Conversion or urity: Dir- Indirect ------------------------ Exercise Price ect (D) or In Beneficial Date Exer- Expiration Amount or Number of Derivative Direct (I) Ownership cisable Date Title of Shares Security (Instr. 5) (Instr. 5) ---------- ---------- ------- ---------------- --------------- -------------- ------------ Option (right to buy) 10/4/93 3/15/01 Common 2,188 $ 7.533 D Stock Option (right to buy) 10/4/93 3/15/02 Common 1,069 $ 7.241 D Stock Option (right to buy) 10/4/93 3/15/03 Common 2,000 $ 7.168 D Stock Option (right to buy) (1) 9/27/03 Common 5,000 $20.000 D Stock Option (right to buy) (2) 4/1/04 Common 2,977 $24.000 D Stock Option (right to buy) (3) 7/1/04 Common 5,000 $24.000 D Stock Option (right to buy) (4) 4/4/05 Common 2,511 $30.000 D Stock Option (right to buy) (5) 4/4/05 Common 10,000 $30.000 D Stock Option (right to buy) (6) 5/30/06 Common 12,877 $34.875 D Stock Option (right to buy) (7) 12/31/06 Common 30,000 $27.000 D Stock Option (right to buy) (8) 4/2/07 Common 3,160 $34.250 D Stock Explanation of Responses All of the above options were granted under Barnes & Noble, Inc. stock option plans in transactions exempt under Rule 16b-3. (1) One-third of these options became exercisable on September 27 of each of the years 1994 through 1996. (2) One-third of these options became exercisable on April 1 of each of the years 1995 through 1997. (3) One-third of these options became/become exercisable on July 1 of each of the years 1995 through 1997. (4) One-third of these options became/become exercisable on April 4 of each of the years 1996 through 1998. (5) One-fourth of these options became/become exercisable on April 4 of each of the years 1996 through 1999. (6) One-third of these options became/become exercisable on May 31 of each of the years 1997 through 1999. (7) One-third of these options become exercisable on January 1 of each of the years 1998 through 2000. (8) One-third of these options become exercisable on April 3 of each of the years 1998 through 2000. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ David S. Deason June 13, 1997 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). --------------------------- ------------- **Signature of Reporting Person Date David S. Deason 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 (Print or Type Responses)
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