0000950138-13-000098.txt : 20130305 0000950138-13-000098.hdr.sgml : 20130305 20130305173109 ACCESSION NUMBER: 0000950138-13-000098 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130304 FILED AS OF DATE: 20130305 DATE AS OF CHANGE: 20130305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Troia Christopher CENTRAL INDEX KEY: 0001323985 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12302 FILM NUMBER: 13667179 MAIL ADDRESS: STREET 1: 531 MAIN STREET STREET 2: APT 1918 CITY: ROOSEVELT ISLAND STATE: NY ZIP: 10044 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: 0430 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-03-04 0000890491 BARNES & NOBLE INC BKS 0001323985 Troia Christopher C/O BARNES & NOBLE, INC. 122 FIFTH AVENUE NEW YORK NY 10011 0 1 0 0 VP & Chief Information Officer Common Stock 2013-03-04 4 M 0 1217 11.2694 A 17709 D Common Stock 2013-03-04 4 S 0 1217 16.4033 D 16492 D Common Stock 1020.323 I By 401(k) Plan Stock Option (Right to Buy) 11.2694 2013-03-04 4 M 0 1217 0 D 2013-03-12 Common Stock 1217 0 D The number of shares subject to such options and the related exercise price have been adjusted to reflect the Issuer's spin-off transaction effected on November 12, 2004 which divided all outstanding exercise prices by 1.41534 and multiplied all related shares by the same number. The price reported in Column 4 is a weighted average share price. These shares were sold in multiple transactions at prices ranging from $16.4001 to $16.42, inclusive. The reporting person undertakes to provide to Barnes & Noble, Inc., any security holders of Barnes & Noble, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 2 to this Form 4. Holdings under the Barnes & Noble, Inc. 401(k) Plan are reported in units. Therefore, the securities set forth in Column 5 of Table I are units. The number of units reported herein are based on a plan statement dated as of December 31, 2012. The Barnes & Noble, Inc. 401(k) Plan accounts for interests in the Barnes & Noble, Inc. Stock Fund in units consisting of shares of Barnes & Noble, Inc. common stock and a liquidity component. As a result, the number of underlying shares may fluctuate from time to time. One-fourth of these options became exercisable on March 13 of each of the years 2004 through 2007. /s/ Eugene V. DeFelice, as Attorney-in-Fact for Christopher Troia 2013-03-05