0001179110-17-010391.txt : 20170714 0001179110-17-010391.hdr.sgml : 20170714 20170714172525 ACCESSION NUMBER: 0001179110-17-010391 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: Toal Sheamus CENTRAL INDEX KEY: 0001309032 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32315 FILM NUMBER: 17966155 MAIL ADDRESS: STREET 1: 450 W. 33RD STREET STREET 2: 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10001 4 1 edgar.xml FORM 4 - X0306 4 2017-06-29 0 0001211351 New York & Company, Inc. NWY 0001309032 Toal Sheamus 330 W. 34TH STREET 9TH FLOOR NEW YORK NY 10001 0 1 0 0 EVP and CFO Options to Purchase Common Stock 4.74 2017-06-29 4 D 0 50000 0 D 2018-03-19 Common Stock 50000 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 11111 0 A 2019-06-29 Common Stock 11111 11111 D Stock Appreciation Rights 4.79 2017-06-29 4 D 0 50000 0 D 2020-04-01 Common Stock 50000 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 15306 0 A 2020-04-01 Common Stock 15306 15306 D Stock Appreciation Rights 6.89 2017-06-29 4 D 0 50000 0 D 2021-04-15 Common Stock 50000 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 10377 0 A 2021-04-15 Common Stock 10377 10377 D Stock Appreciation Rights 3.65 2017-06-29 4 D 0 65000 0 D 2022-04-16 Common Stock 65000 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 33070 0 A 2022-04-16 Common Stock 33070 33070 D Stock Appreciation Rights 5.32 2017-06-29 4 D 0 67050 0 D 2023-08-26 Common Stock 67050 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 37502 0 A 2023-08-26 Common Stock 37502 37502 D Stock Appreciation Rights 3.47 2017-06-29 4 D 0 114618 0 D 2024-08-25 Common Stock 114618 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 51578 0 A 2024-08-25 Common Stock 51578 51578 D Stock Appreciation Rights 2.6 2017-06-29 4 D 0 114618 0 D 2025-08-25 Common Stock 114618 0 D Stock Appreciation Rights 1.36 2017-06-29 4 A 0 70249 0 A 2025-08-25 Common Stock 70249 70249 D Represents options to purchase common stock 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 options to purchase common stock which were exercisable as follows: 12,500 on March 19, 2009, 12,500 on March 19, 2010, 12,500 on March 19, 2011, and 12,500 on March 19, 2012. 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. 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 all exercisable on April 1, 2013. 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 15, 2014. 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 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: 16,762 on August 26, 2014, 16,762 on August 26, 2015, and 33,526 on August 26, 2016. 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: 28,654 on August 25, 2015, 28,654 on August 25, 2016, and 57,310 on August 25, 2017. Represents Replacement SARs granted pursuant to the Company's Stock Appreciation Right and Option Exchange Program which vest as follows: 25,790 on August 25, 2017 and 25,788 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: 28,654 on August 25, 2016; 28,654 on August 25, 2017, and 57,310 on August 25, 2018 Represents Replacement SARs granted pursuant to the Company's Stock Appreciation Right and Option Exchange Program which vest as follows: 17,562 on August 25, 2017, 17,562 on June 29, 2018, and 35,125 on August 25, 2018. Linda Gormezano, attorney-in-fact /s/ Linda Gormezano 2017-07-14