0000950138-18-000477.txt : 20180717 0000950138-18-000477.hdr.sgml : 20180717 20180717171852 ACCESSION NUMBER: 0000950138-18-000477 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180713 FILED AS OF DATE: 20180717 DATE AS OF CHANGE: 20180717 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Herpich Peter M CENTRAL INDEX KEY: 0001592920 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12302 FILM NUMBER: 18957140 MAIL ADDRESS: STREET 1: C/O BARNES & NOBLE, INC. STREET 2: 122 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10104 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: 0429 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 2018-07-13 0000890491 BARNES & NOBLE INC BKS 0001592920 Herpich Peter M C/O BARNES & NOBLE, INC. 122 FIFTH AVENUE NEW YORK NY 10011 0 1 0 0 VP, Corp.Contr.(Pr. Acc. Off.) Common Stock 2018-07-13 4 F 0 2509 5.40 D 28667 D Common Stock 2018-07-14 4 F 0 1471 5.40 D 27196 D Common Stock 2018-07-15 4 F 0 1008 5.40 D 26188 D Common Stock 2018-07-15 4 A 0 4813 0 A 31001 D Common Stock 2018-07-15 4 F 0 2368 5.40 D 28633 D Common Stock 1009.518 I By 401(k) Plan Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes. Shares issued upon vesting of performance-based restricted stock units. Shares withheld by the Issuer on vesting of performance-based restricted stock units to cover applicable withholding taxes. 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 June 30, 2018. 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. /s/ Peter M. Herpich 2018-07-17