Filing Details
- Accession Number:
- 0000874214-11-000029
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-17 11:28:30
- Reporting Period:
- 2011-03-15
- Filing Date:
- 2011-03-17
- Accepted Time:
- 2011-03-17 11:28:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 874214 | Ann Inc. | ANN | Retail-Women's Clothing Stores (5621) | 133499319 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1159598 | Barbara Eisenberg | C/O Ann Inc. 7 Times Square New York NY 10036 | Evp/General Counsel/Secretary | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-03-15 | 7,500 | $0.00 | 44,072 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2011-03-15 | 3,934 | $27.50 | 40,138 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-03-16 | 6,813 | $27.78 | 33,325 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2011-03-16 | 3,333 | $0.00 | 36,658 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-03-16 | 2,827 | $28.26 | 33,831 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2011-03-15 | 15,000 | $0.00 | 15,000 | $27.74 |
| Common Stock | Restricted Units | Disposition | 2011-03-16 | 3,333 | $0.00 | 3,333 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 15,000 | 2021-03-15 | No | 4 | A | Direct | |
| 6,667 | No | 4 | M | Direct |
Footnotes
- This represents a grant of restricted stock.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $27.50 to $27.52, inclusive. For all transactions reported in this Form 4 utilizing a weighted average price, the reporting person undertakes to provide to ANN INC., any security holder of ANN 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 this footnote to this Form 4.
- Includes holdings of approximately 6,309 shares in the Company's Associate Discount Stock Purchase Plan.
- The reporting person is reporting the disposition of 3,333 restricted units in exchange for an equal number of shares of common stock.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $28.25 to $28.29, inclusive.
- Exercisable 1/3 per year on each of the first three anniversaries of the grant date.
- This represents a grant of stock options.
- Each restricted unit represents a contingent right to receive one share of common stock.
- 1/3 of the restricted units vested on March 16, 2011 and the remainder will vest in two equal annual installments beginning on March 16, 2012
- Restricted units do not have an expiration date.
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