-----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, FxZ+zgHPLOooBRvkalY4N10V+lvYPZpiKxRKgtxnppDGkX+jLgdKB47ry0PyHkpO qMd7lalZF22JBoRtHEbeKw== 0000950138-03-000531.txt : 20030929 0000950138-03-000531.hdr.sgml : 20030929 20030929175824 ACCESSION NUMBER: 0000950138-03-000531 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030925 FILED AS OF DATE: 20030929 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RIGGIO LEONARD CENTRAL INDEX KEY: 0000927587 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12302 FILM NUMBER: 03915944 BUSINESS ADDRESS: STREET 1: 122 FIFTH AVE STREET 2: C/O BARNES & NOBLE INC CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 2126333300 MAIL ADDRESS: STREET 1: 122 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10011 4 1 sept26lriggio-4_ex.xml X0201 4 2003-09-25 0 0000890491 BARNES & NOBLE INC BKS 0000927587 RIGGIO LEONARD 122 FIFTH AVE C/O BARNES & NOBLE INC NEW YORK NY 10011 1 1 1 0 Chairman of the Board Common Stock 2003-09-25 4 J 0 606277 25.75 D 10613195 D Common Stock 2003-09-25 4 M 0 649334 10.125 A 11262529 D Common Stock 2003-09-25 4 M 0 669416 13.50 A 11931945 D Stock Option (Right to Buy) 10.125 2003-09-25 4 M 0 649334 0 D 1994-09-28 2003-09-28 Common Stock 649334 1369416 D Stock Option (Right to Buy) 13.50 2003-09-25 4 M 0 669416 0 D 1994-09-28 2003-09-28 Common Stock 669416 700000 D These shares, which have been held by the Reporting Person for more than six months, were tendered to the Issuer in payment of the exercise price of the stock option exercises reported herein, with the Reporting Person receiving back a like number of shares upon said exercises. The Reporting Person elected to defer receipt of the balance of the shares due from said exercises (712,473 shares) pursuant to the Issuer's Executive Deferred Compensation Plan (the "Plan"). In accordance therewith, the Issuer is establishing a trust for the benefit of the Reporting Person (the "Trust") containing 712,473 shares of the Issuer's common stock. Represents the average of the high and low per share prices on the day immediately preceding the stock option exercises reported herein, the deemed value of these shares under the Plan. Of these shares, 2,652,334 shares are owned indirectly through Barnes & Noble College Bookstores, Inc., a New York corporation of which all of the currently outstanding voting securities are owned by the Reporting Person ("B&N College"). 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 and related exercise price have been adjusted to reflect the two-for-one stock split effected by the Issuer on September 22, 1997. Of these shares, 2,652,334 shares are owned indirectly through B&N College and 43,057 shares will be held in the Trust. Of these shares, 2,652,334 shares are owned indirectly through B&N College and 712,473 shares will be held in the Trust. One third of these options became exercisable on September 28 of each of the years 1994 through 1996. 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/ Leonard Riggio 2003-09-29 -----END PRIVACY-ENHANCED MESSAGE-----