0001179110-17-010389.txt : 20170714 0001179110-17-010389.hdr.sgml : 20170714 20170714172351 ACCESSION NUMBER: 0001179110-17-010389 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170629 FILED AS OF DATE: 20170714 DATE AS OF CHANGE: 20170714 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: New York & Company, Inc. CENTRAL INDEX KEY: 0001211351 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-WOMEN'S CLOTHING STORES [5621] IRS NUMBER: 331031445 FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 330 WEST 34TH STREET - 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10001 BUSINESS PHONE: 212-884-2110 MAIL ADDRESS: STREET 1: 330 WEST 34TH STREET - 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10001 FORMER COMPANY: FORMER CONFORMED NAME: NY & CO GROUP INC DATE OF NAME CHANGE: 20021220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Worthington John M CENTRAL INDEX KEY: 0001411816 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32315 FILM NUMBER: 17966142 MAIL ADDRESS: STREET 1: N56 W17000 RIDGEWOOD DRIVE CITY: MENOMONEE FALLS STATE: WI ZIP: 53051 4 1 edgar.xml FORM 4 - X0306 4 2017-06-29 0 0001211351 New York & Company, Inc. NWY 0001411816 Worthington John M 330 W. 34TH STREET 9TH FLOOR NEW YORK NY 10001 0 1 0 0 President and COO Stock Appreciation Rights 3.16 2017-06-29 4 D 0 750000 0 D 2024-11-03 Common Stock 750000 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 381148 0 A 2024-11-03 Common Stock 381148 381148 D Stock Appreciation Rights 2.6 2017-06-29 4 D 0 150000 0 D 2025-08-25 Common Stock 150000 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 91935 0 A 2025-08-25 Common Stock 91935 91935 D Each Stock Appreciation Right (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 stock. Represents SARs cancelled pursuant to the Company's Stock Appreciation Right and Option Exchange Program as more fully described in the Schedule TO, filed with the Securities and Exchange Commission on June 1, 2017. The reporting person was previously awarded SARs which were exercisable as follows: 187,500 on November 3, 2015, 187,500 on November 3, 2016, 187,500 on November 3, 2017, and 187,500 on November 3, 2018. In exchange for each cancelled award pursuant to the Company's Stock Appreciation Right and Option Exchange Program, the reporting person received a replacement award for a lesser number of SARs with an equal fair value and an exercise price equal to the closing price of the Company's common stock as reported on the New York Stock Exchange on June 29, 2017. Represents Replacement SARs granted pursuant to the Company's Stock Appreciation Right and Option Exchange Program which vest as follows: 95,287 on November 3, 2017, 190,574 on June 29, 2018, and 95,287 on November 3, 2018. Represents SARs cancelled pursuant to the Company's Stock Appreciation Right and Option Exchange Program. The reporting person was previously awarded SARs which were exercisable as follows: 37,500 on August 25, 2016, 37,500 on August 25, 2017, and 75,000 on August 25, 2018. Represents Replacement SARs granted pursuant to the Company's Stock Appreciation Right and Option Exchange Program which vest as follows: 22,983 on August 25, 2017, 22,983 on June 29, 2018, and 45,969 on August 25, 2018. Linda Gormezano, attorney-in-fact /s/ Linda Gormezano 2017-07-14