4//SEC Filing
Ristau Ronald W 4
Accession 0001179110-06-024363
CIK 0001211351other
Filed
Dec 26, 7:00 PM ET
Accepted
Dec 27, 5:22 PM ET
Size
13.4 KB
Accession
0001179110-06-024363
Insider Transaction Report
Form 4
Ristau Ronald W
DirectorCOO and CFO
Transactions
- Sale
Common Stock
2006-12-26$13.25/sh−20,000$264,940→ 598,299 total - Exercise/Conversion
Options to Purchase Common Stock
2006-12-26$0.11/sh−20,000$2,200→ 733,168 totalExercise: $0.11Exp: 2012-11-27→ Common Stock (20,000 underlying) - Exercise/Conversion
Common Stock
2006-12-26$0.11/sh+20,000$2,200→ 618,299 total
Holdings
- 25,000
Options to Purchase Common Stock
Exercise: $15.76Exp: 2016-03-15→ Common Stock (25,000 underlying) - 126,134
Options to Purchase Common Stock
Exercise: $3.23Exp: 2014-05-14→ Common Stock (126,134 underlying) - 48,726(indirect: By Trust)
Common Stock
Footnotes (5)
- [F1]This exercise of options to purchase Common Stock and the sale of Common Stock are pursuant to the reporting person's 10b5-1 Plan which commenced on November 20, 2006 under Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- [F2]Includes 590,799 shares of Common Stock. Also, includes 7,500 shares of restricted stock which may become exercisable pursuant to a vesting schedule ending on August 16, 2010 depending on company performance and continued employment through August 16, 2010. If certain company performance objectives are met throughout the 4-year vesting period, the restricted stock will vest over the next four years as follows: 938 on February 3, 2007; 1,875 on February 2, 2008; 1,875 on January 31, 2009; 1,875 on January 30, 2010; and 937 on August 16, 2010. If on August 16, 2010, the company's cumulative 4-year performance meets the cumulative 4-year performance objectives, then any unvested shares will vest.
- [F3]Represents Common Stock indirectly beneficially owned through the 2004 RWR Grantor Retained Annuity Trust.
- [F4]The options to purchase Common Stock are currently exercisable.
- [F5]The options become exercisable in five annual installments on the following dates: 3,750 shares on March 15, 2007; 3,750 shares on March 15, 2008; 5,000 shares on March 15, 2009; 6,250 shares on March 15, 2010; and 6,250 shares on March 15, 2011.
Documents
Issuer
New York & Company, Inc.
CIK 0001211351
Entity typeother
Related Parties
1- filerCIK 0001299915
Filing Metadata
- Form type
- 4
- Filed
- Dec 26, 7:00 PM ET
- Accepted
- Dec 27, 5:22 PM ET
- Size
- 13.4 KB