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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (Right to Buy) | $ 10.01 | (1) | 11/28/2015 | Common Stock | 40,000 | 40,000 | D | ||||||||
Option (Right to Buy) | $ 9.5 | 11/18/2009 | D | 36,294 | (2) | 10/02/2010 | Common Stock | 36,294 | (6) | 23,706 | D | ||||
Option (Right to Buy) | $ 9.5 | 11/18/2009 | M | 23,706 | (2) | 10/02/2010 | Common Stock | 23,706 | $ 0 | 0 | D | ||||
Option (Right to Buy) | $ 9.5 | 11/18/2009 | D | 39,658 | (2) | 10/02/2010 | Common Stock | 39,658 | (6) | 20,342 | I | By Husband | |||
Option (Right to Buy) | $ 9.5 | 11/18/2009 | M | 20,342 | (2) | 10/02/2010 | Common Stock | 20,342 | $ 0 | 0 | I | By Husband | |||
Option (Right to Buy) | $ 7.7 | 11/18/2009 | D | 9,160 | (3) | 11/15/2011 | Common Stock | 9,160 | (6) | 5,840 | I | By Husband | |||
Option (Right to Buy) | $ 7.7 | 11/18/2009 | M | 5,840 | (3) | 11/15/2011 | Common Stock | 5,840 | $ 0 | 0 | I | By Husband | |||
Option (Right to Buy) | $ 12.86 | 11/18/2009 | D | 30,198 | (4) | 11/24/2014 | Common Stock | 30,198 | (6) | 9,802 | I | By Husband | |||
Option (Right to Buy) | $ 12.86 | 11/18/2009 | M | 9,802 | (4) | 11/24/2014 | Common Stock | 9,802 | $ 0 | 0 | I | By Husband | |||
Option (Right to Buy) | $ 10.01 | 11/18/2009 | D | 16,206 | (5) | 11/28/2015 | Common Stock | 16,206 | (6) | 7,794 | I | By Husband | |||
Option (Right to Buy) | $ 10.01 | 11/18/2009 | M | 7,794 | (5) | 11/28/2015 | Common Stock | 7,794 | $ 0 | 16,000 | I | By Husband |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MATTHIAS REBECCA C C/O DESTINATION MATERNITY CORPORATION 456 NORTH FIFTH STREET PHILADELPHIA, PA 19123 |
X | President & CCO |
Rebecca C. Matthias signed by Ronald J. Masciantonio under Power of Attorney | 11/20/2009 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | As of November 6, 2009, 24,000 shares underlying the $10.01 options are vested and exercisable. On November 28, 2009, 8,000 additional shares will vest and become exercisable. Pursuant to that certain Letter Agreement dated November 6, 2009 between the Issuer and the Reporting Person, the remaining 8,000 shares originally scheduled to vest and become exercisable on November 28, 2010 will vest and become exercisable on September 30, 2010. |
(2) | The options were fully vested and exercisable on October 2, 2000. |
(3) | The options were fully vested and exercisable on November 15, 2001. |
(4) | The options were fully vested and exercisable on November 24, 2004. |
(5) | The options granted on November 28, 2005 vest and become exercisable in five (5) equal annual installments beginning on November 28, 2006. |
(6) | Inherent value of these options being surrendered to the Issuer is being applied to pay the exercise price for the option exercise reported in the next line in this Table II. |