4 1 jimjunf4.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ----------------------- ------------------------------ OMB APPROVAL FORM 4 ------------------------------ OMB Number: 3235-0287 ----------------------- Expires: January 31, 2005 Estimated average burden hours per response ...... 0.5 _ Check this box if no longer ------------------------------ subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). U.S. SECURITIES AND EXCHANGE COMMISSION --------------------------------------- Washington, D.C. 20549 ---------------------- STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP -------------------------------------------- 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* Smith James M. -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o AnnTaylor Stores Corporation 142 West 57th Street -------------------------------------------------------------------------------- (Street) New York New York 10019 -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol AnnTaylor Stores Corporation (ANN) ________________________________________________________________________________ 3. IRS or Social Security Number of Reporting Person (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year May 2002 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) Sr. VP and Chief Financial Officer ________________________________________________________________________________ 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 ================================================================================
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship 3. Disposed of (D) Beneficially Form: 7. Transaction (Instr. 3, 4 and 5) Owned at End Direct Nature of 2. Code ------------------------------- of (D) or Indirect 1. Transaction (Instr. 8) (A) Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/23/02 M 1,249 A $11.42 D See Note 1 ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/23/02 S 1,249 D $31.10 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/23/02 M 1,875 A $14.00 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/23/02 S 1,875 D $31.10 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/23/02 M 3,000 A $10.33 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/23/02 S 3,000 D $31.10 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/23/02 M 1,274 A $15.96 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/23/02 S 1,274 D $31.23 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/23/02 M 2,476 A $15.96 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/23/02 S 2,476 D $31.10 17,554 D ------------------------------------------------------------------------------------------------------------------------------------
Note 1:All the numbers in this Table I reflect post 3-for-2 stock split numbers. (Print or Type Responses) (Over) SEC 2270 (10-94) FORM 4 (continued) ================================================================================ 2 Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. Owner- ship 9. Form Number of of Deriv- 2. Deriv- ative Conver- 5. 7. ative Secur- 11. sion Number of Title and Amount Secur- ities Nature or Derivative 6. of Underlying 8. ities Bene- of Exer- 4. Securities Date Securities Price Bene- ficial- In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially ly direct Price Trans- action or Disposed Expiration ---------------- Deriv- Owned Owned Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End at end ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of of Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month Month ship Security Secur- Day/ ------- ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Employee $11.42 5/23/02 M 1,249 See 5/1/06 Common 1,249 0 D Stock Option See Note 2 Stock (right to buy) Note 1 ------------------------------------------------------------------------------------------------------------------------------------ Employee $14.00 5/23/02 M 1,875 See 2/20/07 Common 1,875 0 D Stock Option Note 3 Stock (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Employee $10.33 5/23/02 M 3,000 See 4/21/08 Common 3,000 0 D Stock Option Note 4 Stock (right to buy) ------------------------------------------------------------------------------------------------------------------------------------ Employee $15.96 5/23/02 M 3,750 See 3/10/10 Common 3,750 3,750 D Stock Option Note 5 Stock (right to buy) ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: Note 1: All the numbers in this Table II reflect post 3-for-2 stock split numbers. Note 2: The Option vested in four equal installments on May 1 of 1997, 1998, 1999 and 2000. Note 3: The Option vested in four equal installments on February 20 of 1998, 1999, 2000 and 2001. Note 4: The Option vested in four equal installments on April 21 of 1999, 2000, 2001 and 2002. Note 5: The Option vests in four equal installments on March 10 of 2001, 2002, 2003 and 2004. /s/James M. Smith 6/6/2002 --------------------------------------------- ----------------------- **Signature of Reporting Person 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 4(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