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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HAUGH JOHN N C/O ICONIX BRAND GROUP, INC. 1450 BROADWAY NEW YORK, NY 10018 |
X | President and CEO |
/s/ John N. Haugh | 03/09/2017 | |
**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) | Represents surrender of shares in the amount of 41,687 and 10,512, respectively, to the issuer in payment of tax liability incident to the vesting of two separate grants of restricted stock. |
(2) | These represent shares underlying Performance Stock Units ("PSUs") that were granted to the reporting person pursuant to the terms of a long-term incentive plan adopted by the Company in March 2016 (the "2016 LTIP). On March 7, 2017 these shares were determined to have been earned and automatically converted to Restricted Stock Units ("RSUs") per the terms of the reporting person's PSU Agreement with the issuer. |
(3) | These represent shares underlying RSUs that were granted to the reporting person pursuant to a long-term incentive plan approved by the Company in March 2017 (the "2017 LTIP"). The RSUs vest in installments of 32,503, 32,503 and 32,502 on March 30, 2018, March 30, 2019 and March 30, 2020, respectively (each a "Time Vesting Date"), subject to the reporting person's continuous employment with the issuer through each respective Time Vesting Date and subject to the terms of the RSU Agreement between the issuer and the reporting person. |
Remarks: President and Chief Executive Officer |