-----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, EndwNaNl20qogW9gVmUxyrjrXHb1lx9mEfPQ5wx3nSh74wgp3qFqS19G7BPG2pc7 X/zh9LhDxGBPf2Dy024Z8A== 0000910643-97-000027.txt : 19970319 0000910643-97-000027.hdr.sgml : 19970319 ACCESSION NUMBER: 0000910643-97-000027 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970317 FILED AS OF DATE: 19970318 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12302 FILM NUMBER: 97558569 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: 5 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 5 1 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL 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 box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). / / Form 3 Holdings Reported / / Form 4 Transactions Reported. 1. Name and Address of Reporting Person* Golden Maureen H. (Last) (First) (Middle) c/o Barnes & Noble, Inc. 122 Fifth Avenue (Street) New York New York 10011 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Barnes & Noble, Inc. (BKS) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 2/1/97 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) Chief Operating 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. Amount of Securi- ties Bene- ficially 4. Securities Acquired (A) Owned at 6. Owner- 2. Trans- or Disposed of (D) End of ship action 3. Trans- (Instr. 3, 4 and 5) Issuer's Form: 7. Nature of Date action --------------------------- Fiscal (D) or Indirect Month/ Code (A) Year Indirect Beneficial 1. Title of Security Day/ (Instr. Amount or Price (Instr. (I) Ownership (Instr.3) Year) 8) (D) 3 and 4) (Instr. 4) (Instr. 4) - ----------------------------- --------- ---------- -------- --- -------- ------------ ------------- -------------
* 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 Responses)
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 Acquired (A) or (Month/Day/Year) Price of Date 4. Trans- Disposed of (D) ----------------------- Deriv- (Month/ action (Instr. 3, 4, and 5) Date 1. Title of Derivative Security ative Day/ Code ----------------------- Exercis- Expiration (Instr. 3) Security Year) (Instr. 8) A D able Date - ---------------------------------- ----------- ---------- ------------ ----------- ----------- ---------- ---------- Stock Option (Right to Buy) $34.875 5/31/96 A 3,596 (2) 5/30/06 (1)(2) Stock Option (Right to Buy) $34.875 5/31/96 A 2,607 (2) 5/30/06 (1)(2) 9. Number of 10. Ownership Derivative of Deriv- Securities ative 7. Title and Amount of Underlying Benefi- Security: Securities (Instr. 3 and 4) cially Direct 11. Nature of --------------------------------- 8. Price of Owned (D) or Indirect Amount or Derivative at End Indirect Beneficial 1. Title of Derivative Title Number of Security of Year (I) Ownership Security (Instr. 3) Shares (Instr. 5) (Instr. 4) (Instr. 4) (Instr. 4) - ---------------------- -------------------- --------- ------------- ------------- -------------- -------------- Stock Option Common Stock, 3,596 -- 39,889(3) D (Right to Buy) par value $.001 (1)(2) Stock Option Common Stock, 2,607 -- 11,453(4) D (Right to Buy) par value $.001 (1)(2)
Explanation of Responses (1) Issued pursuant to 1996 Incentive Plan. (2) One-third of the options granted to the Reporting Person become exercisable on May 31 of each of the years 1997 through 1999. (3) Represents the total number of stock options (right to buy) beneficially owned by the Reporting Person with respect to Common Stock, par value $.001. (4) Represents the total number of stock options (right to buy) beneficially owned by the Reporting Person's spouse with respect to Common Stock, par value $.001. The Reporting Person disclaims beneficial ownership of the securities owned by her 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 any other purpose. By: /s/ Maureen H. Golden Date: March 17, 1997 ------------------------------- -------------------- **Signature of Reporting Person Maureen H. Golden ** 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-----