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