GUESS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 39 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-10-18: Reporting owner ALBERINI CARLOS; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-10-18: Reporting owner Isaacson-Leibowitz Kay; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-09-11: Reporting owner SHACHTMAN NANCY; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-09-10: Reporting owner SHACHTMAN NANCY; Form 4; Security Employee Stock Option (right to buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2007-10-18 | ALBERINI CARLOS Director, Officer (President & COO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 62,000 owned after | $2.32 exercise price | 2007-10-22 | |
| 2007-10-18 | Isaacson-Leibowitz Kay Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −500 4,330 owned after | $20.12 exercise price | 2007-10-22 | |
| 2007-09-11 | SHACHTMAN NANCY Officer (President of Wholesale) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 0 owned after | $3.66 exercise price | 2007-09-11 | |
| 2007-09-10 | SHACHTMAN NANCY Officer (President of Wholesale) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 12,500 owned after | $3.66 exercise price | 2007-09-11 | |
| 2007-07-19 | Relich Michael Officer (SVP & CIO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,600 30,000 owned after | $7.72 exercise price | 2007-07-20 | |
| 2007-07-12 | MARCIANO PAUL Director, Officer (Vice Chairman & CEO), 10% Owner | 4 | Employee Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 50,000 owned after | $8.68 exercise price | 2007-07-16 | |
| 2007-07-12 | MARCIANO PAUL Director, Officer (Vice Chairman & CEO), 10% Owner | 4 | Employee Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 100,000 owned after | $7.80 exercise price | 2007-07-16 | |
| 2007-07-05 | SECOR DENNIS R Officer (SVP & CFO) | 4 | Employee Stock Options (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 32,000 owned after | $20.18 exercise price | 2007-07-06 | |
| 2007-07-03 | MARCIANO MAURICE Director, Officer (Chairman of the Board), 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,400 0 owned after | $7.80 exercise price | 2007-07-03 | |
| 2007-07-02 | Relich Michael Officer (SVP & CIO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,400 32,600 owned after | $7.72 exercise price | 2007-07-03 | |
| 2007-07-02 | MARCIANO MAURICE Director, Officer (Chairman of the Board), 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −186,600 13,400 owned after | $7.80 exercise price | 2007-07-03 | |
| 2007-06-18 | Blumenthal Judith Director | 4 | Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,117 2,117 owned after | $49.33 exercise price | 2007-06-20 | |
| 2007-06-15 | Relich Michael Officer (SVP & CIO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 40,000 owned after | $7.72 exercise price | 2007-06-19 | |
| 2007-06-13 | Relich Michael Officer (SVP & CIO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 50,000 owned after | $7.72 exercise price | 2007-06-15 | |
| 2007-06-13 | Relich Michael Officer (SVP & CIO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 50,000 owned after | $7.72 exercise price | 2007-06-15 | |
| 2007-03-19 | SHACHTMAN NANCY Officer (President of Wholesale) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000 3,000 owned after | $41.12 exercise price | 2007-04-10 | |
| 2007-03-19 | ALBERINI CARLOS Director, Officer (President & COO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $41.12 exercise price | 2007-04-10 | |
| 2007-03-19 | SECOR DENNIS R Officer (SVP & CFO) | 4 | Employee Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,400 1,400 owned after | $41.12 exercise price | 2007-04-10 | |
| 2007-03-19 | Relich Michael Officer (SVP & CIO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,100 3,100 owned after | $41.12 exercise price | 2007-04-10 | |
| 2007-03-19 | Pearson Stephen L Officer (EVP/Chief Supply Chain Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $41.12 exercise price | 2007-04-10 | |
| 2007-03-19 | MARCIANO PAUL Director, Officer (Vice Chairman & CEO), 10% Owner | 4 | Employee Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,000 24,000 owned after | $41.12 exercise price | 2007-04-04 | |
| 2007-03-19 | MARCIANO MAURICE Director, Officer (Chairman of the Board), 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $41.12 exercise price | 2007-04-04 | |
| 2007-03-07 | KANE ALICE Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,375 0 owned after | $4.15 exercise price | 2007-03-08 | |
| 2007-03-07 | KANE ALICE Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,875 1,875 owned after | $12.00 exercise price | 2007-03-08 | |
| 2007-03-07 | KANE ALICE Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,875 3,750 owned after | $11.98 exercise price | 2007-03-08 | |
| 2007-03-07 | KANE ALICE Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,875 5,625 owned after | $36.13 exercise price | 2007-03-08 | |
| 2007-03-06 | KANE ALICE Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −500 1,375 owned after | $4.15 exercise price | 2007-03-08 | |
| 2007-02-22 | Relich Michael Officer (SVP & CIO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 5,000 owned after | $17.36 exercise price | 2007-02-23 | |
| 2007-02-22 | Relich Michael Officer (SVP & CIO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −425 1,275 owned after | $36.20 exercise price | 2007-02-23 | |
| 2007-02-20 | SHACHTMAN NANCY Officer (President of Wholesale) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 2,500 owned after | $17.36 exercise price | 2007-02-21 | |
| 2007-02-20 | SHACHTMAN NANCY Officer (President of Wholesale) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −500 1,500 owned after | $36.20 exercise price | 2007-02-21 | |
| 2007-01-15 | Isaacson-Leibowitz Kay Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,226 1,226 owned after | $71.41 exercise price | 2007-01-17 | |
| 2007-01-15 | Neuburger Karen Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,226 1,226 owned after | $71.41 exercise price | 2007-01-17 | |
| 2007-01-15 | KANE ALICE Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,226 1,226 owned after | $71.41 exercise price | 2007-01-17 | |
| 2007-01-02 | KANE ALICE Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,830 2,830 owned after | $63.43 exercise price | 2007-01-04 | |
| 2007-01-02 | Neuburger Karen Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,830 2,830 owned after | $63.43 exercise price | 2007-01-04 | |
| 2007-01-02 | YEMENIDJIAN ALEX Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,830 2,830 owned after | $63.43 exercise price | 2007-01-04 | |
| 2007-01-02 | CHIDONI ANTHONY Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,830 2,830 owned after | $63.43 exercise price | 2007-01-04 | |
| 2007-01-02 | Isaacson-Leibowitz Kay Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,830 2,830 owned after | $63.43 exercise price | 2007-01-04 |