ANN INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 21 rows, 21 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-03-16: Reporting owner Lynch Brian E; Form 4; Security Restricted Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-03-16: Reporting owner Nicholson Michael J; Form 4; Security Restricted Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-03-16: Reporting owner MUTO GARY; Form 4; Security Restricted Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-03-16: Reporting owner LAWTHER KRILL KATHERINE; Form 4; Security Restricted Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-03-16 | Lynch Brian E Officer (Brand President, AnnTaylor) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,167 0 owned after | $0.00 | 2013-03-19 | |
| 2013-03-16 | Nicholson Michael J Officer (EVP, COO & CFO) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,334 0 owned after | $0.00 | 2013-03-19 | |
| 2013-03-16 | MUTO GARY Officer (Brand President, LOFT) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,167 0 owned after | $0.00 | 2013-03-19 | |
| 2013-03-16 | LAWTHER KRILL KATHERINE Director, Officer (President & CEO) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −21,667 0 owned after | $0.00 | 2013-03-19 | |
| 2012-03-16 | MUTO GARY Officer (Brand President, LOFT) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,167 7,167 owned after | $0.00 | 2012-03-19 | |
| 2012-03-16 | Nicholson Michael J Officer (EVP & Chief Financial Officer) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,333 3,334 owned after | $0.00 | 2012-03-19 | |
| 2012-03-16 | EISENBERG BARBARA Officer (EVP/General Counsel/Secretary) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,333 3,334 owned after | $0.00 | 2012-03-19 | |
| 2012-03-16 | Lynch Brian E Officer (Brand President, AnnTaylor) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,167 7,167 owned after | $0.00 | 2012-03-19 | |
| 2012-03-16 | LAWTHER KRILL KATHERINE Director, Officer (President & CEO) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −21,667 21,667 owned after | $0.00 | 2012-03-19 | |
| 2011-03-16 | Lynch Brian E Officer (President Corporate Operations) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,166 14,334 owned after | $0.00 | 2011-03-17 | |
| 2011-03-16 | EISENBERG BARBARA Officer (EVP/General Counsel/Secretary) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,333 6,667 owned after | $0.00 | 2011-03-17 | |
| 2011-03-16 | LAWTHER KRILL KATHERINE Director, Officer (President & CEO) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −21,666 43,334 owned after | $0.00 | 2011-03-17 | |
| 2011-03-16 | Nicholson Michael J Officer (EVP & Chief Financial Officer) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,333 6,667 owned after | $0.00 | 2011-03-17 | |
| 2011-03-16 | Beauchamp Christine Officer (President, AnnTaylor Stores) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,166 14,334 owned after | $0.00 | 2011-03-17 | |
| 2011-03-16 | MUTO GARY Officer (President, LOFT) | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,166 14,334 owned after | $0.00 | 2011-03-17 | |
| 2010-03-16 | Nicholson Michael J Officer (EVP & Chief Financial Officer) | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2010-03-18 | |
| 2010-03-16 | MUTO GARY Officer (President, LOFT) | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,500 21,500 owned after | $0.00 | 2010-03-18 | |
| 2010-03-16 | Lynch Brian E Officer (President Corporate Operations) | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,500 21,500 owned after | $0.00 | 2010-03-18 | |
| 2010-03-16 | LAWTHER KRILL KATHERINE Director, Officer (President & CEO) | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,000 65,000 owned after | $0.00 | 2010-03-18 | |
| 2010-03-16 | EISENBERG BARBARA Officer (EVP/General Counsel/Secretary) | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2010-03-18 | |
| 2010-03-16 | Beauchamp Christine Officer (President, AnnTaylor Stores) | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,500 21,500 owned after | $0.00 | 2010-03-18 |