Filing Details

Accession Number:
0001144204-11-061168
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-11-03 16:17:03
Reporting Period:
2011-11-01
Filing Date:
2011-11-03
Accepted Time:
2011-11-03 16:17:03
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
857737 Iconix Brand Group Inc. ICON Footwear, (No Rubber) (3140) 112481903
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
944791 Neil Cole 1450 Broadway, 4Th Floor
New York NY 10018
Ceo And President Yes 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 2011-11-01 101,500 $2.75 1,819,479 No 4 M Direct
Common Stock Disposition 2011-11-01 101,500 $17.69 1,717,979 No 4 S Direct
Common Stock Acquisiton 2011-11-02 98,500 $2.75 1,816,479 No 4 M Direct
Common Stock Disposition 2011-11-02 98,500 $18.01 1,717,979 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S 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) Disposition 2011-11-01 101,500 $0.00 101,500 $2.75
Common Stock Employee Stock Option (Right to Buy) Disposition 2011-11-02 98,500 $0.00 98,500 $2.75
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
498,500 2002-04-23 2012-04-23 No 4 M Direct
400,000 2002-04-23 2012-04-23 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 20,000 Indirect As custodian for children
Common Stock 15,194 Indirect By 401(K) Plan
Footnotes
  1. The reported sales transactions were executed pursuant to a Sales Plan with a brokerage firm under Rule 10b5-1 of the Securities Exchange Act of 1934. Mr. Cole's 10b5-1 plan was implemented because of the short duration remaining on previously granted ten-year stock options covered by the 10b5-1 plan and applies only to options that expire by their terms on or before May 22, 2012.
  2. The reported sales transactions were executed in multiple trades at prices ranging from $17.32 to $17.93. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were affected.
  3. The reported sales transactions were executed in multiple trades at prices ranging from $17.60 to $18.30. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were affected.
  4. Includes 1,181,684 unissued shares underlying RSUs that were granted to the reporting person pursuant to the terms of his 2008 employment agreement with the issuer and a related RSU Agreement.
  5. The filing of this Statement shall not be construed to mean that the reporting person is, for the purposes of Section 16 of the Securities and Exchange Act of 1934 (as amended), the beneficial owner of the common stock of the issuer reported as indirectly owned by the reporting person as custodian for his children.