0000950138-14-000381.txt : 20140410
0000950138-14-000381.hdr.sgml : 20140410
20140410164530
ACCESSION NUMBER: 0000950138-14-000381
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120625
FILED AS OF DATE: 20140410
DATE AS OF CHANGE: 20140410
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KEATING MARY ELLEN
CENTRAL INDEX KEY: 0001057419
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12302
FILM NUMBER: 14757422
MAIL ADDRESS:
STREET 1: 122 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10011
4/A
1
edgar.xml
PRIMARY DOCUMENT
X0306
4/A
2012-06-25
2012-06-25
0000890491
BARNES & NOBLE INC
BKS
0001057419
KEATING MARY ELLEN
C/O BARNES & NOBLE, INC.
122 FIFTH AVENUE
NEW YORK
NY
10011
0
1
0
0
Sr. VP Corp. Com. & Pub. Aff.
Common Stock
2012-06-25
4
M
0
2482
13.2265
A
27559
D
Common Stock
2012-06-25
4
M
0
1660
11.2694
A
29219
D
Common Stock
2012-06-25
4
S
0
4142
15.1044
D
25077
D
Common Stock
3949.664
I
By 401(k) Plan
Stock Option (Right to Buy)
13.2265
2012-06-25
4
M
0
2482
0
D
2012-07-23
Common Stock
2482
0
D
Stock Option (Right to Buy)
11.2694
2012-06-25
4
M
0
1660
0
D
2013-03-12
Common Stock
1660
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 $15.0814 to $15.13, 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 March 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 July 24 of each of the years 2003 through 2006.
One fourth of these options became exercisable on March 13 of each of the years 2004 through 2007.
This Amended Form 4 is being filed to reflect the fact that the shares previously reported sold were acquired through the exercise of previously reported stock options. Accordingly, the Reporting Person's original Form 4, filed on June 25, 2012, and six Form 4s, filed by the Reporting Person after June 25, 2012, understated the Reporting Person's beneficial ownership of Common Stock by 4,142 shares.
/s/ Mary Ellen Keating
2014-04-10