-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KZmqbsd3m1WqN+ItmcFw+qO92607icuhXDGHdI/r0c06mlmGf8N6q14Q/4nTXDEq m1avwQqUCGLsoQOJDighrg== 0000889812-97-000582.txt : 19970227 0000889812-97-000582.hdr.sgml : 19970227 ACCESSION NUMBER: 0000889812-97-000582 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970131 FILED AS OF DATE: 19970226 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BARNES & NOBLE INC CENTRAL INDEX KEY: 0000890491 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] IRS NUMBER: 061196501 STATE OF INCORPORATION: DE FISCAL YEAR END: 0129 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12302 FILM NUMBER: 97543448 BUSINESS ADDRESS: STREET 1: 122 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 2126333300 MAIL ADDRESS: STREET 1: 122 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10011 COMPANY DATA: COMPANY CONFORMED NAME: BARNES & NOBLE INC CENTRAL INDEX KEY: 0000890491 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] DIRECTOR IRS NUMBER: 061196501 STATE OF INCORPORATION: DE FISCAL YEAR END: 0129 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 122 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 2126333300 MAIL ADDRESS: STREET 1: 122 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10011 4 1 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 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 / / Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). 1. Name and Address of Reporting Person* Berdon, Matthew A. (Last) (First) (Middle) 200 East 42nd Street (Street) New York, New York 10017 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Barnes & Noble, Inc. Symbol = BKS 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year January 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) /X/ Director / / 10% Owner / / Officer (give title below) / / Other (specify below) 8. 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. Amount of Secu- rites 4. Securities Acquired (A) Bene- 6. Ownership 2. Trans- 3. Trans- or Disposed of (D) ficially Form: action action (Instr. 3, 4 and 5) Owned at Direct 7. Nature of Date Code ----------------------------- End of (D) or Indirect (Month/ (Instr. 8) (A) Month Indirect Beneficial 1. Title of Security Day/ ------------- Amount or Price (Instr. (I) Ownership (Instr. 3) Year) Code V (D) 3 and 4) (Instr. 4) (Instr. 4) - ----------------------------- ---------- ------ ----- ------------ --- ---------- ----------- ------------- --------------- Common Stock, par value $.001 1/15/97 P 4,000 A $26.50 D Common Stock, par value $.001 1/17/97 P 500** A $26.00 23,500*** I By Spouse
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response)
Table II--Derivative Securities Acquired, Disposed of or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 2. Conver- 5. Number of Deriv- 6. Date Exercisable sion or 3. Trans- ative Securities and Expiration Date Exercise action 4. Transac- Acquired (A) or (Month/Day/Year) Price of Date tion Code Disposed of (D) ---------------------- Deriv- (Month/ (Instr. 8) (Instr. 3, 4, and 5) Date 1. Title of Derivative Security ative Day/ ------------- -------------------------- Exercis- Expiration (Instr. 3) Security Year) Code V (A) (D) able Date - ---------------------------------------- ----------- ---------- ------ ----- ------------ ------------ ---------- ---------- 9. Number of 10. Ownership Derivative Form of Securities Derivative 7. Title and Amount of Underlying Benefi- Security: Securities (Instr. 3 and 4) cially Direct 11. Nature of ---------------------------------------- 8. Price of Owned at (D) or Indirect Amount or Derivative End of Indirect Beneficial 1. Title of Derivative Title Number of Security Month (I) Ownership Security (Instr. 3) Shares (Instr. 5) (Instr. 4) (Instr. 4) (Instr. 4) - --------------------------- --------------------------- ----------- ------------- ------------- -------------- ---------------
Explanation of Responses: ** The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. *** Of which 23,000 shares are owned directly and 500 shares are owned by spouse. The reporting person disclaims beneficial ownership of the securities owned by his spouse, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. This Form 4 is the EDGARIZED version of the Form 4 filed manually by the reporting person on February 10, 1997. By: /s/ Matthew A. Berdon Date February 1, 1997 ------------------------------- ---------------- **Signature of Reporting Person Matthew A. Berdon ** 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. -----END PRIVACY-ENHANCED MESSAGE-----