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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Stock Units (1) | (3) | 06/20/2017 | A | 11,194 | (3) | (3) | Common Stock | 11,194 | $ 0 | 11,194 | D | ||||
Deferred Stock Units (2) | (4) | 06/20/2017 | A | 11,194 | (4) | (4) | Common Stock | 11,194 | $ 0 | 22,388 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Haubegger Christy 330 W. 34TH STREET 9TH FLOOR NEW YORK, NY 10001 |
X |
Linda Gormezano, attorney-in-fact /s/ Linda Gormezano | 01/16/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This is an amended filing to a Form 4 filed on June 22, 2017, which reported deferred stock units granted to the reporting person as restricted stock. The award is now correctly described and reported in Table II. |
(2) | This is an amended filing to a Form 4 filed on June 22, 2017, which reported performance-based deferred stock units granted to the reporting person as performance-based restricted stock. The award is now correctly described and reported in Table II. |
(3) | On June 20, 2017, the reporting person was awarded deferred stock units which vest on June 1, 2018. The reporting person has elected to defer the receipt of shares. Each deferred stock unit is the economic equivalent of one share of New York & Company, Inc. common stock. |
(4) | On June 20, 2017, the reporting person was awarded performance-based deferred stock units which vest subject to the Company achieving target operating income for the period July 30, 2017 through February 3, 2018 ("Fall 2017") and continuation as a member of the Company's Board of Directors through June 1, 2018. The reporting person has elected to defer the receipt of shares. Each deferred stock unit is the economic equivalent of one share of New York & Company, Inc. common stock. Any earned shares will vest on June 1, 2018. All 11,194 performance-based deferred stock units will be cancelled if the Company does not achieve the target operating income goal for Fall 2017. |
(5) | Includes 11,194 deferred stock units which vest on June 1, 2018 and 11,194 performance-based deferred stock units as described in footnote (4) above. |