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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 | ||||||||
Class B Common Stock | (1) | (1) | (1) | Class A Common Stock | 13,749,906 | 13,749,906 (2) | I | By Trust (3) | |||||||
Class B Common Stock | (1) | 12/17/2013 | G(4) | V | 1,029,769 | (1) | (1) | Class A Common Stock | 1,029,769 | $ 0 | 0 (4) | I | By GRAT | ||
Class B Common Stock | (1) | (1) | (1) | Class A Common Stock | 1,629,044 | 1,629,044 | I | By Trust (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LAUREN RALPH RALPH LAUREN CORPORATION 650 MADISON AVENUE NEW YORK, NY 10022 |
X | X | Chairman & CEO |
/s/ Yen D. Chu, Attorney-in-Fact | 12/19/2013 | |
**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) | The holder of the securities has the right, at the holder's option, at any time and from time to time, to convert shares of Class B Common Stock into Class A Common Stock on a one-for-one basis. |
(2) | Reflects distributions on December 18, 2012 and December 17, 2013 to the reporting person of 105,723 and 109,640 shares of Class B Common Stock, respectively, from a grantor retained annuity trust of which the reporting person was the investment trustee. Such shares were then transferred from the reporting person's direct holdings to a revocable trust of which the reporting person is the sole trustee and sole beneficiary. These transfers were exempt from reporting under Rule 16a-13 under the Securities Exchange Act of 1934. |
(3) | These shares of Class B Common Stock are held by a revocable trust of which the reporting person is sole trustee and sole beneficiary. |
(4) | Reflects a gift from a terminating grantor retained annuity trust of 1,029,769 shares of Class B Common Stock on December 17, 2013 to a successor trust for the benefit of the reporting person's descendants in which neither the reporting person nor his wife has investment control over the shares. In addition, the balance following the transaction reflects the distributions described in footnote 2 above. |
(5) | These shares of Class B Common Stock are held by a revocable trust of which the reporting person's wife is sole trustee and sole beneficiary. |