Toal Sheamus 4

4 · RTW Retailwinds, Inc. · Filed Jun 28, 2019

Form 4

Period: 2019-06-26

EVP and CFO

Transactions

Exercise/Conversion
Common Stock
2019-06-26$1.36/sh+11,111$15,111→ 307,036 total
Tax Payment
Common Stock
2019-06-26$1.74/sh−825$1,436→ 297,526 total
Disposition to Issuer
Common Stock
2019-06-26$1.74/sh−8,685$15,112→ 298,351 total
Exercise/Conversion
Stock Appreciation Rights
2019-06-26−11,111→ 0 total
Exercise: $1.36From: 2018-06-29Exp: 2019-06-29→ Common Stock (11,111 underlying)

Holdings

Footnotes (7)

[F1]The reporting person exercised 11,111 stock appreciation rights (SARs) in advance of their expiration on June 29, 2019. Amount represents shares of common stock received upon the exercise of SARs.
[F2]Represents disposition of shares to the Company deemed to occur upon the exercise of SARs.
[F3]Represents disposition of shares to the Company to satisfy tax withholding obligations upon the exercise of SARs.
[F4]Includes 189,090 shares of common stock; 34,997 vested deferred stock units; 2,492 deferred stock units which vest on August 31, 2020; 19,322 deferred stock units which veston March 20, 2021; 4,826 deferred stock units which vest on August 20, 2021; 8,357 deferred stock units which vest of March 19, 2022; 20,000 shares of restricted stock which veston August 22, 2019; and 18,442 shares of restricted stock which vest on August 27, 2021.
[F5]Represents common stock indirectly beneficially owned by the reporting person.
[F6]The shares continue to be held of record by the reporting person as custodian for his daughter.
[F7]Each SAR represents the right to receive a payment measured by the increase in the fair market value of one share of common stock from the date of grant of the SAR to the date of exercise of the SAR. Upon exercise, the SARs will be settled in the Company's common stock.

Documents

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