-----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, SUGaSwnplnA5528OW+kVRI7OOJToeM6+T68064ULG1UK2A71bmDOoz2qcIRr51jK abSsy0czNFF1KW4LL4gvag== 0000910643-99-000083.txt : 19990615 0000910643-99-000083.hdr.sgml : 19990615 ACCESSION NUMBER: 0000910643-99-000083 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990531 FILED AS OF DATE: 19990610 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: 4 SEC ACT: SEC FILE NUMBER: 001-12302 FILM NUMBER: 99644176 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: 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
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Check this box if no FORM 4 - ---- longer subject to Section 16. Form 4 or STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Form 5 obligations may continue. See Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Instruction 1(b). 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. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person Tolworthy Thomas A. Barnes & Noble, Inc. Symbol = BKS to Issuer (Check all applicable) __________________________________________ _____________________________________________ ___ Director 10% Owner --- (Last) (First) (Middle) 3. IRS Identification 4. Statement for _X_ Officer (give ___ Other (Specify Number of Reporting Month/Year title below) below) c/o Barnes & Noble, Inc. Person, if an entity Vice President and President of 122 Fifth Avenue (voluntary) May 1999 Barnes & Noble Booksellers, Inc. __________________________________________ ______________________________________________________________ (Street) 5. If Amendment, Date of 7. Individual or Joint/Group Filing New York NY 10011 Original (Month/Year) (Check applicable line) __________________________________________ _X_ Form Filed by one Reporting Person (City) (State) (Zip) Form Filed by more than one --- Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 5. Amount of 3. Trans- 4. Securities Acquired (A) Securities 2. Trans- action or Disposed of (D) Beneficially 6. Ownership action Code (Instr. 3, 4 and 5) Owned at Form: 7. Nature of Date (Instr. --------------------------- End of Direct(D) Indirect Month/ 8) (A) Month or Beneficial 1. Title of Security Day/ ----- --- Amount or Price (Instr. Indirect(I) Ownership (Instr.3) Year) Code V (D) 3 and 4) (Instr. 4) (Instr. 4) - ----------------------------- --------- ---------- -------- --- -------- ------------ ------------- ------------ Common Stock 5/11/99 M 10,000(1) A $15.0000(1) Common Stock 5/11/99 M 100(1) A $12.1875(1) Common Stock 5/11/99 M 7,192(1) A $17.4375(1) Common Stock 5/11/99 S 17,292 D $35.0386 -0- * If this 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. (Over)
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) $15.0000(1) 5/11/99 M 10,000(1) 4/4/99 4/4/05 Stock Option (Right to Buy) $12.1875(1) 5/11/99 M 100(1) 1/16/98 1/16/06 Stock Option (Right to Buy) $17.4375(1) 5/11/99 M 7,192(1) (2) 5/30/06 Stock Option (Right to Buy) $26.0000 3/9/99 A V 16,185 (3) 3/9/09 9. Number of 10. Ownership Derivative of Deriv- 11. Nature Securities ative of 7. Title and Amount of Underlying Benefi- Security: Indirect Securities (Instr. 3 and 4) cially Direct Bene- --------------------------------- 8. Price of Owned (D) or ficial Amount or Derivative at End Indirect Owner- 1. Title of Derivative Title Number of Security of Month (I) ship Security (Instr. 3) Shares (Instr. 5) (Instr. 4) (Instr. 4) (Instr. 4) - ---------------------- -------------------- --------- ------------- ------------- -------------- ---------- Stock Option (Right Common Stock 10,000(1) to Buy) Stock Option (Right Common Stock 100(1) to Buy) Stock Option (Right Common Stock 7,192(1) to Buy) Stock Option (Right Common Stock 16,185 95,973(4) D to Buy) Explanation of Responses (1) These options originally related to one-half the number of shares at twice the exercise price, and were reported as such. The number of shares acquired and the related exercise price set forth above result from the two-for-one stock split effected by the Issuer on September 22, 1997. (2) One-half of these options became exercisable on May 31 of each of the years 1997 and 1998. (3) One-fourth of these options become exercisable on March 9 of each of the years 2000 through 2003. (4) Represents the total number of stock options (right to buy) beneficially owned by the Reporting Person with respect to the Issuer's Common Stock. /s/ Thomas A. Tolworthy June 10, 1999 **Intentional misstatements or omissions of facts constitute ------------------------------- -------------- Federal Criminal Violations. See 18 U.S.C. 1001 and **Signature of Reporting Person Date 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. Page 2 SEC 1474 (8-92)
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