-----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, KndYRxHpwpS4q8FKtmFoxnIXczbXhLLvrpNtXZvmks3tprPGRe9ptXW0r3qD1jen hArgICiMlh+bOOZnV5G3LQ== 0000910643-99-000097.txt : 19990623 0000910643-99-000097.hdr.sgml : 19990623 ACCESSION NUMBER: 0000910643-99-000097 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990609 FILED AS OF DATE: 19990621 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: 3 SEC ACT: SEC FILE NUMBER: 001-12302 FILM NUMBER: 99649586 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: ARCHBOLD MICHAEL G CENTRAL INDEX KEY: 0001089267 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: BARNES & NOBLE INC STREET 2: 122 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10011 MAIL ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 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* Archbold, Michael G. (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) 6/9/99 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) 4. Issuer Name and Ticker or Trading Symbol Barnes & Noble, Inc. Symbol = BKS 5. Relationship of Reporting Person to Issuer (Check all applicable) _____ Director _____ 10% Owner X Officer (give _____ Other (specify ----- title below) below) Vice President and Treasurer ---------------------------- 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) Common Stock 600 D Common Stock 100 I By Son Common Stock 100 I By Son Common Stock 100 I By Daughter
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) ---------- ---------- ------- ---------------- --------------- -------------- ------------ Stock Option (Right to Buy)(1) (2) 5/30/06 Common Stock 2,000 $17.4375 D Stock Option (Right to Buy)(1) (3) 4/3/07 Common Stock 4,656 $17.2250 D Stock Option (Right to Buy)(1) (4) 3/2/08 Common Stock 2,578 $34.7500 D Stock Option (Right to Buy)(1) (5) 3/9/09 Common Stock 10,000 $26.0000 D Explanation of Responses (1) Granted Under Barnes & Noble, Inc. 1996 Incentive Plan in transaction exempt under Rule 16b-3. (2) One-third of these options became exercisable on May 31 of each of the years 1997 through 1999. (3) One-fourth of these options became exercisable on April 4 of each of the years 1998 and 1999. One-fourth of these options become exercisable on April 4 of each of the years 2000 and 2001. (4) One-fourth of these options became exercisable on March 3, 1999. One-fourth of these options become exercisable on March 3 of each of the years 2000 through 2002. (5) One-fourth of these options become exercisable on March 9 of each of the years 2000 through 2003. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Michael G. Archbold June 21, 1999 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). --------------------------- ------------- **Signature of Reporting Person Date Michael G. Archbold 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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