- Statement of Changes in Beneficial Ownership (4)
September 12 2012 - 5:52PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
MARINA OSCAR E
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2. Issuer Name
and
Ticker or Trading Symbol
ELIZABETH ARDEN INC
[
RDEN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
EVP, General Counsel & Secty.
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(Last)
(First)
(Middle)
C/O ELIZABETH ARDEN, INC., 2400 SW 145 AVENUE, 2ND FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/10/2012
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(Street)
MIRAMAR, FL 33027
(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, $.01 par value
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8/30/2012
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G
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V
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550
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D
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$0
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57296
(3)
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D
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Common Stock, $.01 par value
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9/10/2012
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S
(1)
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6000
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D
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$46.533
(2)
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51296
(3)
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D
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Common Stock, $.01 par value
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9/11/2012
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M
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5011
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A
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$15
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56307
(3)
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D
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Common Stock, $.01 par value
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9/11/2012
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S
(4)
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5000
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D
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$46
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51307
(3)
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D
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Common Stock, $.01 par value
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9/11/2012
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S
(4)
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11
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D
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$46.5
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51296
(3)
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D
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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$15
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9/11/2012
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M
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5011
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8/21/2007
(5)
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8/21/2009
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Common Stock, $.01 par value
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5011
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$0
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12989
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D
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Explanation of Responses:
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(
1)
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Sold for estate planning purposes.
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(
2)
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Reflects the weighted average price of $46.533 shares of common stock of the Issuer sold by the Reporting Person in multiple transactions on September 10, 2012 with the sale price ranging from $46.45 to $46.67 per share. The Reporting Person undertakes to provide upon request by the Staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
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(
3)
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Includes 4,267 service-based restricted stock units.
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(
4)
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Sold pursuant to a 10b5-1 Plan adopted by the Reporting Person for estate planning purposes.
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(
5)
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This stock option vested in three equal installments on August 21, 2007, August 21, 2008 and August 21, 2009.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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MARINA OSCAR E
C/O ELIZABETH ARDEN, INC.
2400 SW 145 AVENUE, 2ND FLOOR
MIRAMAR, FL 33027
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EVP, General Counsel & Secty.
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Signatures
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OSCAR E. MARINA
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9/12/2012
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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