Statement of Changes in Beneficial Ownership (4)
April 15 2021 - 5:56PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
MARCIANO PAUL |
2. Issuer Name and Ticker or Trading Symbol
GUESS INC
[
GES
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Creative Officer |
(Last)
(First)
(Middle)
C/O GUESS?, INC., 1444 S. ALAMEDA STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/13/2021 |
(Street)
LOS ANGELES, CA 90021
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 4/13/2021 | | A | | 310881 (1) | A | $0 | 379328 (2) | D | |
Common Stock | 4/13/2021 | | S | | 30000 | D | $26.77 (3) | 1451700 | I | by NRG Capital Holdings, LLC (6) |
Common Stock | 4/14/2021 | | S | | 40000 | D | $26.98 (4) | 1411700 | I | by NRG Capital Holdings, LLC (6) |
Common Stock | 4/15/2021 | | S | | 30000 | D | $27.43 (5) | 1381700 | I | by NRG Capital Holdings, LLC (6) |
Common Stock | 4/6/2021 | | G |
V
| 35000 | D | $0 | 1725000 | I | by MM CRUT, LLC (7) |
Common Stock | 4/7/2021 | | G |
V
| 29615 | D | $0 | 1662094 | I | by MM Charitable Remainder Unitrust II (8) |
Common Stock | | | | | | | | 10145586 (2) | I | by Paul Marciano Trust (9) |
Common Stock | | | | | | | | 105977 | I | by Exempt Gift Trust (10) |
Common Stock | | | | | | | | 370309 | I | by Nonexempt Gift Trust (11) |
Common Stock | | | | | | | | 349491 | I | by PM Special Exempt Trust (12) |
Common Stock | | | | | | | | 170666 | I | by G Financial Holdings, LLC (13) |
Common Stock | | | | | | | | 339005 | I | by G Financial Holdings II, LLC (14) |
Common Stock | | | | | | | | 4598087 | I | by Maurice Marciano Trust (15) |
Common Stock | | | | | | | | 103801 | I | by Next Step Capital, LLC (16) |
Common Stock | | | | | | | | 554940 | I | by Next Step Capital II, LLC (17) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Acquired pursuant to Issuer's employee equity plan upon achievement of previously established performance criteria. |
(2) | 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. |
(3) | The reported price represents the weighted average price for shares sold in multiple transactions ranging from $26.54 to $27.00. The details of the amounts and prices will be provided to the Issuer, any shareholders of the Issuer or the SEC on request. |
(4) | The reported price represents the weighted average price for shares sold in multiple transactions ranging from $26.67 to $27.36. The details of the amounts and prices will be provided to the Issuer, any shareholders of the Issuer or the SEC on request. |
(5) | The reported price represents the weighted average price for shares sold in multiple transactions ranging from $26.65 to $28.08. The details of the amounts and prices will be provided to the Issuer, any shareholders of the Issuer or the SEC on request. |
(6) | Shares are held by NRG Capital Holdings, LLC. |
(7) | Shares are held by MM CRUT, LLC. The reporting person disclaims beneficial ownership of these shares, except to the extent of the reporting person's pecuniary interest therein. |
(8) | Shares are held by Maurice Marciano Charitable Remainder Unitrust II. The reporting person disclaims beneficial ownership of these shares, except to the extent of the reporting person's pecuniary interest therein. |
(9) | Shares are held by the Paul Marciano Trust dated, 2/20/86. |
(10) | Shares are held by Exempt Gift Trust under the Next Step Trust. The reporting person disclaims beneficial ownership of these shares, except to the extent of the reporting person's pecuniary interest therein. |
(11) | Shares are held by the Nonexempt Gift Trust under the Next Step Trust. The reporting person disclaims beneficial ownership of these shares, except to the extent of the reporting person's pecuniary interest therein. |
(12) | Shares are held by Paul Marciano Special Exempt Trust. |
(13) | Shares are held by G Financial Holdings, LLC. |
(14) | Shares are held by G Financial Holdings II, LLC. |
(15) | Shares are held by the Maurice Marciano Trust (2006 Restatement). The reporting person disclaims beneficial ownership of these shares, except to the extent of the reporting person's pecuniary interest therein. |
(16) | Shares are held by Next Step Capital, LLC. The reporting person disclaims beneficial ownership of these shares, except to the extent of the reporting person's pecuniary interest therein. |
(17) | Shares are held by Next Step Capital II, LLC. The reporting person disclaims beneficial ownership of these shares, except to the extent of the reporting person's pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MARCIANO PAUL C/O GUESS?, INC. 1444 S. ALAMEDA STREET LOS ANGELES, CA 90021 | X | X | Chief Creative Officer |
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Signatures
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Jason T. Miller (attorney-in-fact) | | 4/15/2021 |
**Signature of Reporting Person | Date |
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