0001179110-17-010390.txt : 20170714 0001179110-17-010390.hdr.sgml : 20170714 20170714172446 ACCESSION NUMBER: 0001179110-17-010390 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: SCOTT GREGORY J CENTRAL INDEX KEY: 0001238220 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32315 FILM NUMBER: 17966150 MAIL ADDRESS: STREET 1: 26972 BURBANK CITY: FOOTHILL RANCH STATE: CA ZIP: 92610 4 1 edgar.xml FORM 4 - X0306 4 2017-06-29 0 0001211351 New York & Company, Inc. NWY 0001238220 SCOTT GREGORY J 330 W. 34TH STREET 9TH FLOOR NEW YORK NY 10001 1 1 0 0 Chief Executive Officer Stock Appreciation Rights 3.80 2017-06-29 4 D 0 700000 0 D 2020-06-01 Common Stock 700000 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 294000 0 A 2020-06-01 Common Stock 294000 294000 D Stock Appreciation Rights 6.17 2017-06-29 4 D 0 200000 0 D 2021-02-15 Common Stock 200000 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 45283 0 A 2021-02-15 Common Stock 45283 45283 D Stock Appreciation Rights 3.65 2017-06-29 4 D 0 200000 0 D 2022-04-16 Common Stock 200000 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 101754 0 A 2022-04-16 Common Stock 101754 101754 D Stock Appreciation Rights 5.32 2017-06-29 4 D 0 200000 0 D 2023-08-26 Common Stock 200000 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 111864 0 A 2023-08-26 Common Stock 111864 111864 D Stock Appreciation Rights 3.47 2017-06-29 4 D 0 100000 0 D 2024-08-25 Common Stock 100000 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 44999 0 A 2024-08-25 Common Stock 44999 44999 D Stock Appreciation Rights 2.6 2017-06-29 4 D 0 200000 0 D 2025-08-25 Common Stock 200000 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 122580 0 A 2025-08-25 Common Stock 122580 122580 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: 137,500 on June 1, 2011, 187,500 on June 1, 2012, 187,500 on June 1, 2013, and 187,500 on June 1, 2014. 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 all vest on June 29, 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: 50,000 on February 15, 2012, 50,000 on February 15, 2013, 50,000 on February 15, 2014, and 50,000 on February 15, 2015. Represents Replacement SARs granted pursuant to the Company's Stock Appreciation Right and Option Exchange Program which all vest on June 29, 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 all exercisable on April 16, 2015. Represents Replacement SARs granted pursuant to the Company's Stock Appreciation Right and Option Exchange Program which all vest on June 29, 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: 50,000 on August 25, 2014, 50,000 on August 25, 2015 and 100,000 on August 25, 2016. Represents Replacement SARs granted pursuant to the Company's Stock Appreciation Right and Option Exchange Program which all vest on June 29, 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: 25,000 on August 25, 2015, 25,000 on August 25, 2016 and 50,000 on August 25, 2017. Represents Replacement SARs granted pursuant to the Company's Stock Appreciation Right and Option Exchange Program which vest as follows: 22,501 on August 25, 2017 and 22,498 on June 29, 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: 50,000 on August 25, 2016, 50,000 on August 25, 2017 and 100,000 on August 25, 2018. Represents Replacement SARs granted pursuant to the Company's Stock Appreciation Right and Option Exchange Program which vest as follows: 30,645 on August 25, 2017, 30,645 on June 29, 2018 and 61,290 on August 25, 2018. Linda Gormezano, attorney-in-fact /s/ Linda Gormezano 2017-07-14