-----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, LFvYJ78ybqiORtKZDVfIQDNiKBN1Qily67KqpKBdpRUD3WZGEpebbYZ5S+KJRrzf n+tjUGkZRu4HlYN+W/4P4w== 0000910643-98-000050.txt : 19980602 0000910643-98-000050.hdr.sgml : 19980602 ACCESSION NUMBER: 0000910643-98-000050 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980331 FILED AS OF DATE: 19980601 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: 98640317 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: RIGGIO STEPHEN CENTRAL INDEX KEY: 0001038850 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 INC 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* Riggio, Stephen (Last) (First) (Middle) 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 March 1998 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) /X/ Director / / 10% Owner /X/ Officer (give title below) / / Other (Specify below) Vice Chairman 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/ 9) (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 3/6/98 M 86,200(1) A $3.2075(1) Common Stock, par value $.001 3/6/98 S 1,500 D $36.250 Common Stock, par value $.001 3/6/98 S 10,000 D $36.000 Common Stock, par value $.001 3/6/98 S 4,700 D $36.438 Common Stock, par value $.001 3/6/98 S 70,500 D $36.063 Common Stock, par value $.001 3/9/98 M 22,360(1) A $3.2075(1) Common Stock, par value $.001 3/9/98 M 1,840(1) A $3.7665(1) Common Stock, par value $.001 3/9/98 M 5,000(1) A $3.5840(1) Common Stock, par value $.001 3/9/98 S 5,000 D $35.875 Common Stock, par value $.001 3/9/98 S 10,000 D $36.000 Common Stock, par value $.001 3/9/98 S 7,360 D $36.125 Common Stock, par value $.001 3/9/98 S 1,840 D $36.125 Common Stock, par value $.001 3/9/98 G V 5,000 D -- Common Stock, par value $.001 3/10/98 M 26,532(1) A $3.7665(1) Common Stock, par value $.001 3/10/98 M 13,860(1) A $3.6205(1) Common Stock, par value $.001 3/10/98 M 44,208(1) A $3.5840(1) Common Stock, par value $.001 3/10/98 S 10,000 D $36.000 Common Stock, par value $.001 3/10/98 S 1,532 D $36.750 Common Stock, par value $.001 3/10/98 S 13,860 D $36.750 Common Stock, par value $.001 3/10/98 S 10,284 D $36.750 Common Stock, par value $.001 3/10/98 S 15,000 D $36.250 Common Stock, par value $.001 3/10/98 S 9,324 D $36.750 Common Stock, par value $.001 3/10/98 S 10,000 D $36.875 Common Stock, par value $.001 3/10/98 S 14,600 D $37.000 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) $3.2075(1) 3/6/98 M 86,200(1) 10/4/93 7/31/98 Stock Option (Right to Buy) $3.2075(1) 3/9/98 M 22,360(1) 10/4/93 7/31/98 Stock Option (Right to Buy) $3.7665(1) 3/9/98 M 1,840(1) 10/4/93 3/15/01 Stock Option (Right to Buy) $3.5840(1) 3/9/98 M 5,000(1) 10/4/93 3/15/03 Stock Option (Right to Buy) $3.7665(1) 3/10/98 M 26,532(1) 10/4/93 3/15/01 Stock Option (Right to Buy) $3.6205(1) 3/10/98 M 13,860(1) 10/4/93 3/15/02 Stock Option (Right to Buy) $3.5840(1) 3/10/98 M 44,208(1) 3/15/94 3/15/03 Stock Option (Right to Buy) $34.75 3/3/98 A V 22,949 (2) 3/02/08 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 86,200(1) Stock Option (Right to Buy) Common Stock 22,360(1) Stock Option (Right to Buy) Common Stock 1,840(1) Stock Option (Right to Buy) Common Stock 5,000(1) Stock Option (Right to Buy) Common Stock 26,532(1) Stock Option (Right to Buy) Common Stock 13,860(1) Stock Option (Right to Buy) Common Stock 44,208(1) Stock Option (Right to Buy) Common Stock 22,949 2,176,191(3) D
Explanation of Responses (1) These options have been adjusted as a result of the two-for-one stock split effected by the Issuer on September 22, 1997. Prior to the split, and as originally reported, these options related to one-half of the specified shares at an exercise price of two times the specified exercise price. (2) One-fourth of these options become exercisable on March 3 of each of the years 1999 through 2002. (3) Represents the total number of stock options (right to buy) beneficially owned by the Reporting Person with respect to the Issuer's Common Stock, and reflects the two-for-one stock split effected by the Issuer on September 22, 1997. By: /s/ Stephen Riggio Date: May 28, 1998 ------------------------------- -------------------- **Signature of Reporting Person Stephen Riggio ** 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-----