0001179110-18-011734.txt : 20180928 0001179110-18-011734.hdr.sgml : 20180928 20180928183353 ACCESSION NUMBER: 0001179110-18-011734 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180827 FILED AS OF DATE: 20180928 DATE AS OF CHANGE: 20180928 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: 181095331 MAIL ADDRESS: STREET 1: 26972 BURBANK CITY: FOOTHILL RANCH STATE: CA ZIP: 92610 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 4 1 edgar.xml FORM 4 - X0306 4 2018-08-27 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 Common Stock 2018-08-27 4 A 0 153688 0 A 272422 D Common Stock 2018-09-28 4 A 0 97150 0 A 369572 D Common Stock 176340 I The Gregory John Scott Living Trust Stock Appreciation Rights 4.88 2018-08-27 4 A 0 153688 0 A 2028-08-27 Common Stock 153688 153688 D The reporting person was awarded restricted stock which vests on August 27, 2021. The reporting person was granted an award of performance-based restricted stock that vests subject to the Company achieving fiscal year target EBITDA levels for fiscal years 2019, 2020 and 2021, and continued employment with the Company through March 2022. For each fiscal year EBITDA target achieved by the Company, the reporting person will earn 24,287 shares of restricted stock. If the Company achieves the fiscal year target EBITDA goal for the combined fiscal years 2019, 2020 and 2021, the reporting person will earn 24,289 shares of restricted stock. Any earned shares will vest in March 2022. If the Company does not achieve any of the fiscal year EBITDA goals, the performance shares related to that performance period will be forfeited. Includes 10,000 shares of common stock; 54,367 vested deferred stock units; 6,211 unvested deferred stock units that vest on August 31, 2020; 48,156 unvested deferred stock units that vest on March 20, 2021; 153,688 shares of restricted stock which vest on August 27, 2021; and 97,150 shares of performance-based restricted stock. Represents common stock indirectly beneficially owned by the reporting person. The reporting person was awarded stock appreciation rights (SARs) which vest as follows: 38,422 on August 27, 2019; 38,422 on August 27, 2020, and 76,844 on August 27, 2021. 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 stock. Linda Gormezano, attorney-in-fact /s/ Linda Gormezano 2018-09-28