-----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, KpaGDUBsO57ThR6wZQAg0Qe491qDSnQE2niV7X3ClgZIBvHad0tOsD8XQLPL/cpU Pke7Z7iGuPBT0oRyvLgVNA== 0000910643-97-000126.txt : 19971014 0000910643-97-000126.hdr.sgml : 19971014 ACCESSION NUMBER: 0000910643-97-000126 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970930 FILED AS OF DATE: 19971010 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: SEC FILE NUMBER: 001-12302 FILM NUMBER: 97694320 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: TOLWORTHY THOMAS A CENTRAL INDEX KEY: 0001038862 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 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 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 / / Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). 1. Name and Address of Reporting Person* Tolworthy Thomas A. (Last) (First) (Middle) c/o Barnes & Noble, Inc. 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 September 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) / / Director / / 10% Owner /X/ Officer (give title below) / / Other (Specify below) Vice President 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 4. Securities Acquired (A) Bene- 6. Owner- 2. Trans- 3. Trans- or Disposed of (D) ficially ship action action (Instr. 3, 4 and 5) Owned at Form: 7. Nature of Date Code --------------------------- End of Direct(D) or Indirect (Month/ (Instr. 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 9/11/97 M 5,000 A $20.000 Common Stock, par value $.001 9/11/97 S 5,000 D $46.000 Common Stock, par value $.001 9/11/97 M 3,859 A $24.000 Common Stock, par value $.001 9/11/97 S 3,859 D $46.000 Common Stock, par value $.001 9/11/97 M 10,000 A $30.000 Common Stock, par value $.001 9/11/97 S 10,000 D $46.000 Common Stock, par value $.001 9/16/97 M 10,000 A $24.375 Common Stock, par value $.001 9/16/97 S 10,000 D $48.000 -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) $20.000 9/11/97 M 5,000 (1) 9/27/03 Stock Option (Right to Buy) $24.000 9/11/97 M 3,859 (2) 4/1/04 Stock Option (Right to Buy) $30.000 9/11/97 M 10,000 (3) 4/4/05 Stock Option (Right to Buy) $24.375 9/16/97 M 10,000 1/16/97 1/16/06 Stock Option (Right to Buy) $34.250 4/3/97 A V 29,989 (4) 4/2/07 9. Number of 10. Ownership Form 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 5,000 Stock Option (Right to Buy) Common Stock 1,069 Stock Option (Right to Buy) Common Stock 2,188 Stock Option (Right to Buy) Common Stock 3,000 Stock Option (Right to Buy) Common Stock 29,989 90,033(5) D
Explanation of Responses: (1) These options became exercisable in one-third increments on September 27 of each of the years 1994 through 1996. (2) These options became exercisable in one-third increments on April 1 of each of the years 1995 through 1997. (3) These options became exercisable in one-half increments on April 4 of each of the years 1996 and 1997. (4) These options become exercisable in one-fourth increments on April 3 of each of the years 1998 through 2001. (5) 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. /s/ Thomas A. Tolworthy October 9, 1997 ------------------------------- -------------------- **Signature of Reporting Person Date ** 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-----