3/A 1 kkamd3.txt AMENDED INITIAL STATEMENT BENEFIIAL OWNER SECURITIES ---------------------------- -------------------------------- OMB APPROVAL FORM 3 -------------------------------- OMB Number: 3235-0104 ---------------------------- Expires: January 31, 2005 Estimated average burden hours per response ... 0.5 -------------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION --------------------------------------- WASHINGTON, D.C. 20549 ---------------------- INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES ------------------------------------------------------- Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 ------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* Krill Katherine L. (Last) (First) (Middle) ------------------------------------------------------------------------------ c/o AnnTaylor Stores Corporation 142 West 57th Street (Street) ------------------------------------------------------------------------------ New York New York 10019 (City) (State) (Zip) ------------------------------------------------------------------------------ 2. Date of Event Requiring Statement (Month/Day/Year) 05/03/2001 ------------------------------------------------------------------------------ 3. IRS or Social Security Number of Reporting Person, if an entity (voluntary) ------------------------------------------------------------------------------ 4. Issuer Name and Ticker or Trading Symbol AnnTaylor Stores Corporation (ANN) ----------------------------------------------------------------------------- 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [_] 10% Owner [X] Officer (give title below) [_] Other (specify below) President - AnnTaylor Loft ------------------------------------------------------------------------------ 6. If Amendment, Date of Original (Month/Year) 05/2001 ------------------------------------------------------------------------------ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by one Reporting Person [_] Form filed by more than one Reporting Person ------------------------------------------------------------------------------ Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Amount of Securities 3. Ownership form: 4. Nature of Indirect Beneficial (Instr. 4) Beneficially Owned Direct (D) or Ownership (Instr. 4) (Instr. 4) Indirect (I)(Instr. 5) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3,335 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 187 D ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------
(Print or Type Responses) (Over) ================================================================================ 2 FORM 3 (continued) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ------------------------------------------------------------------------------------------------------------------------------------ 5.Ownership 6. Nature 1.Title of Derivative 2.Date 3.Title and Amount 4.Converson or Form of of Security Exercisable of Exercise Price Derivative Indirect (Instr. 4) and Securities of Derivative Security; Beneficial Expiration Underlying Security Direct (D) Ownership Date Derivative Seurities or Indirect (Instr.5) (Month/Day/Year) (Instr. 4) (I);(Instr.5) ---------------- ---------------------- Amount or Date Expiration Number Exercisable Date Title of Shares ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stock (1) 7/20/08 Common Stock 1,665 1-for-1 D ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (2) 5/16/04 Common Stock 5,000 $31.875 D (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option 5/16/03 5/16/04 Common Stock 10,000 $31.875 D (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (2) 2/24/05 Common Stock 1,665 $33.00 D (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option 2/24/04 2/24/05 Common Stock 3,335 $33.00 D (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (3) 2/01/06 Common Stock 833 $11.50 D (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (3) 2/20/07 Common Stock 5,000 $21.00 D (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (3) 4/21/08 Common Stock 11,250 $15.50 D (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (3) 3/08/09 Common Stock 7,500 $44.25 D (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (3) 3/10/10 Common Stock 12,000 $23.9375 D (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (3) 3/14/11 Common Stock 20,000 $27.02 D (right to buy) ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) 50% became exercisable on July 20, 2001, the third anniversary of the date of grant, and 50% will become exercisable on July 20, 2002, the fourth anniversary of the date of grant. (2) Fully vested. (3) Becomes exercisable 25% per year on anniversary of grant. /s/Katherine L. Krill 4/3/2002 ---------------------------------------- ---------------------- ** Signature Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5(b)(v). **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure Page 2