-----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, K3nncGVvLAAcuHWzlUi8U5B5ECyYz5jhSak6eGiwE5VNwvg03a9dQJVRG6abE+9B 2jYLJcceZEPaYjkErq2NLg== 0000910643-97-000104.txt : 19970811 0000910643-97-000104.hdr.sgml : 19970811 ACCESSION NUMBER: 0000910643-97-000104 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970731 FILED AS OF DATE: 19970808 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: 97654746 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: MILLER IRENE R CENTRAL INDEX KEY: 0001038849 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O BARNES & NOBLE STREET 2: 122 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10011 MAIL ADDRESS: STREET 1: C/O BARNES & NOBLE INC STREET 2: 122 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10011 4 1 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 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 1. Name and Address of Reporting Person* Miller, Irene R. (Last) (First) (Middle) 186 Riverside Drive (Street) New York New York 10024 (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 July 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) /X/ Director / / 10% Owner / / Officer (give title below) / / Other (Specify below) 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 I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 5. Amount of Securi- ties 3. Trans- 4. Securities Acquired (A) Bene- 6. Owner- 2. Trans- action or Disposed of (D) ficially ship action Code (Instr. 3, 4 and 5) Owned at Form: 7. Nature of Date (Instr. --------------------------- End of Direct(D) or Indirect Month/ 8) (A) Month Indirect Beneficial 1. Title of Security Day/ ----- --- Amount or Price (Instr. (I) Ownership (Instr.3) Year) Code V (D) 3 and 4) (Instr. 4) (Instr. 4) - ----------------------------- --------- ---------- -------- --- -------- ------------ ------------- ------------- Common Stock, par value $.001 7/1/97 M 1,553 A $ 7.168 Common Stock, par value $.001 7/1/97 M 6,505 A $24.000 Common Stock, par value $.001 7/1/97 M 20,342 A $24.375 Common Stock, par value $.001 7/1/97 S 28,400 D $43.000 Common Stock, par value $.001 7/8/97 M 50,000 A $24.375 Common Stock, par value $.001 7/8/97 S 50,000 D $43.000 Common Stock, par value $.001 7/10/97 M 3,000 A $24.375 Common Stock, par value $.001 7/10/97 S 3,000 D $44.500 Common Stock, par value $.001 7/11/97 M 20,000 A $24.375 Common Stock, par value $.001 7/11/97 S 20,000 D $44.500 Common Stock, par value $.001 7/23/97 M 61,100 A $24.375 Common Stock, par value $.001 7/23/97 S 34,300 D $45.500 Common Stock, par value $.001 7/23/97 S 10,000 D $46.000 Common Stock, par value $.001 7/23/97 S 200 D $45.813 Common Stock, par value $.001 7/23/97 S 9,300 D $45.750 Common Stock, par value $.001 7/23/97 S 2,100 D $45.625 Common Stock, par value $.001 7/23/97 S 5,200 D $45.563 Common Stock, par value $.001 7/24/97 M 26,400 A $24.375 Common Stock, par value $.001 7/24/97 S 26,400 D $45.500 0
* 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)
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- 4. Trans- ative Securities and Expiration Date Exercise action action Acquired (A) or (Month/Day/Year) Price of Date Code Disposed of (D) ----------------------- Deriv- (Month/ (Instr. 8) (Instr. 3, 4, and 5) Date 1. Title of Derivative Security ative Day/ ----- ---- ----------------------- Exercis- Expiration (Instr. 3) Security Year) Code V A D able Date - ---------------------------------- ----------- ---------- ------------ ----------- ----------- ---------- ---------- Stock Option (Right to Buy) $ 7.168 7/1/97 M 1,553 3/15/96 3/15/03 Stock Option (Right to Buy) $24.000 7/1/97 M 6,505 (1) 4/1/04 Stock Option (Right to Buy) $24.375 7/1/97 M 20,342 1/16/97 1/15/06 Stock Option (Right to Buy) $24.375 7/8/97 M 50,000 5/29/96 1/15/06 Stock Option (Right to Buy) $24.375 7/10/97 M 3,000 1/16/97 1/15/06 Stock Option (Right to Buy) $24.375 7/11/97 M 20,000 1/16/97 1/15/06 Stock Option (Right to Buy) $24.375 7/23/97 M 61,100 5/29/96 1/15/06 Stock Option (Right to Buy) $24.375 7/24/97 M 26,400 1/16/97 1/15/06 9. Number of 10. Ownership Derivative of Deriv- Securities ative 7. Title and Amount of Underlying Benefi- Security: Securities (Instr. 3 and 4) cially Direct 11. Nature of --------------------------------- 8. Price of Owned (D) or Indirect Amount or Derivative at End Indirect Beneficial 1. Title of Derivative Title Number of Security of Month (I) Ownership Security (Instr. 3) Shares (Instr. 5) (Instr. 4) (Instr. 4) (Instr. 4) - ---------------------- -------------------- --------- ------------- ------------- -------------- -------------- Stock Option (Right to Buy) Common Stock 1,553 Stock Option (Right to Buy) Common Stock 6,505 Stock Option (Right to Buy) Common Stock 20,342 Stock Option (Right to Buy) Common Stock 50,000 Stock Option (Right to Buy) Common Stock 3,000 Stock Option (Right to Buy) Common Stock 20,000 Stock Option (Right to Buy) Common Stock 61,100 Stock Option (Right to Buy) Common Stock 26,400 174,195(2) D
Explanation of Responses (1) One-third of these options became exercisable on April 1 of each of the years 1995 through 1997. (2) Represents the total number of stock options (right to buy) beneficially owned by the Reporting Person with respect to the Issuer's Common Stock, par value $.001. By: /s/ Irene R. Miller Date: August 7, 1997 ------------------------------- -------------------- **Signature of Reporting Person Irene R. Miller ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----