Amended Statement of Changes in Beneficial Ownership (4/a)
January 16 2018 - 5:34PM
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
Estimated average burden
hours per response...
0.5
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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
*
Haubegger Christy
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2. Issuer Name
and
Ticker or Trading Symbol
New York & Company, Inc.
[
NWY
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
330 W. 34TH STREET, 9TH FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/20/2017
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(Street)
NEW YORK, NY 10001
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
6/22/2017
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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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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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Deferred Stock Units
(1)
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(3)
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6/20/2017
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A
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11194
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(3)
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(3)
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Common Stock
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11194
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$0
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11194
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D
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Deferred Stock Units
(2)
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(4)
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6/20/2017
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A
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11194
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(4)
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(4)
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Common Stock
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11194
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$0
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22388
(5)
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D
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Explanation of Responses:
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(1)
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This is an amended filing to a Form 4 filed on June 22, 2017, which reported deferred stock units granted to the reporting person as restricted stock. The award is now correctly described and reported in Table II.
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(2)
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This is an amended filing to a Form 4 filed on June 22, 2017, which reported performance-based deferred stock units granted to the reporting person as performance-based restricted stock. The award is now correctly described and reported in Table II.
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(3)
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On June 20, 2017, the reporting person was awarded deferred stock units which vest on June 1, 2018. The reporting person has elected to defer the receipt of shares. Each deferred stock unit is the economic equivalent of one share of New York & Company, Inc. common stock.
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(4)
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On June 20, 2017, the reporting person was awarded performance-based deferred stock units which vest subject to the Company achieving target operating income for the period July 30, 2017 through February 3, 2018 ("Fall 2017") and continuation as a member of the Company's Board of Directors through June 1, 2018. The reporting person has elected to defer the receipt of shares. Each deferred stock unit is the economic equivalent of one share of New York & Company, Inc. common stock. Any earned shares will vest on June 1, 2018. All 11,194 performance-based deferred stock units will be cancelled if the Company does not achieve the target operating income goal for Fall 2017.
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(5)
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Includes 11,194 deferred stock units which vest on June 1, 2018 and 11,194 performance-based deferred stock units as described in footnote (4) above.
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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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Haubegger Christy
330 W. 34TH STREET
9TH FLOOR
NEW YORK, NY 10001
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X
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Signatures
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Linda Gormezano, attorney-in-fact /s/ Linda Gormezano
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1/16/2018
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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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