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GUESS INC — Director's Dealing 2013
Apr 6, 2013
32343_dirs_2013-04-05_ea6e3d09-eff3-4e40-a8a3-4954cb217720.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GUESS INC (GES)
CIK: 0000912463
Period of Report: 2013-04-03
Reporting Person: MARCIANO PAUL (Director, Vice Chairman and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-07-12 | Common Stock | G | 197504 | — | Disposed | 0 | Indirect |
| 2013-04-03 | Common Stock | A | 48300 | — | Acquired | 107925 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-04-03 | Employee Stock Option (right to buy) | $25.17 | A | 73400 | Acquired | 2023-04-03 | Common Stock (73400) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6283075 | Indirect |
| Common Stock | 1164971 | Indirect |
| Common Stock | 1581700 | Indirect |
| Common Stock | 170666 | Indirect |
| Common Stock | 2000000 | Indirect |
Footnotes
F1: Shares were held by G2 GRAT, a grantor retained annuity trust of which the reporting person acts as investment advisor and has sole investment power.
F2: Acquired pursuant to Issuer's employee equity incentive plan.
F3: Reflects changes in form of ownership that are exempt pursuant to Rule 16a-13 under the Securities Exchange Act of 1934 since there was no change in pecuniary interest.
F4: Shares are held by the Paul Marciano Trust dated 2/20/86, a revocable trust of which the reporting person is the sole trustee and sole beneficiary and has the exclusive pecuniary interest.
F5: Shares are held by Marciano Financial Holdings II, LLC in accounts specifically allocated to trusts for the benefit of the reporting person and his minor children.
F6: Shares are held by NRG Capital Holdings, LLC in accounts specifically allocated to trusts for the benefit of the reporting person and his minor children.
F7: Shares are held by G Financial Holdings, LLC which is indirectly owned by the reporting person.
F8: Shares are held by G Financial Holdings II, LLC which is indirectly owned by the reporting person.
F9: The option vests in four equal installments on January 5 of each 2014, 2015, 2016 and 2017.