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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 | ||||||||
Employee Stock Option (right to buy) | $ 5.6 (6) | 09/16/2015 | M | 121,952 | (7) | 09/26/2016 | Common Stock | 121,952 (6) | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 5.6 (6) | 09/16/2015 | M | 121,952 | (8) | 09/26/2016 | Common Stock | 121,952 (6) | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 5.6 (9) | 09/16/2015 | M | 55,492 | (10) | 09/26/2016 | Common Stock | 55,492 (9) | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 5.6 (11) | 09/16/2015 | M | 91,036 | (12) | 09/26/2016 | Common Stock | 91,036 (11) | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Upchurch W Howard Jr 1000 EAST HANES MILL ROAD WINSTON-SALEM, NC 27105 |
Group President, IW Americas |
Joia M. Johnson, attorney-in-fact | 09/18/2015 | |
**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 a "net exercise" of outstanding stock options. These shares were withheld by Hanesbrands Inc. for payment of the exercise price and applicable taxes, based on the market price of Hanesbrands Inc. common stock at the time of the option exercise on September 16, 2015 of $30.15. |
(2) | Represents a "net exercise" of outstanding stock options. These shares were withheld by Hanesbrands Inc. for payment of the exercise price and applicable taxes, based on the market price of Hanesbrands Inc. common stock at the time of the option exercise on September 16, 2015 of $30.16. |
(3) | Represents a "net exercise" of outstanding stock options. These shares were withheld by Hanesbrands Inc. for payment of the exercise price and applicable taxes, based on the market price of Hanesbrands Inc. common stock at the time of the option exercise on September 16, 2015 of $30.11. |
(4) | Represents a "net exercise" of outstanding stock options. These shares were withheld by Hanesbrands Inc. for payment of the exercise price and applicable taxes, based on the market price of Hanesbrands Inc. common stock at the time of the option exercise on September 16, 2015 of $30.115. |
(5) | This transaction was executed in multiple trades at prices ranging from $29.965 to $30.19. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request by the SEC staff, Hanesbrands Inc. or any security holder of Hanesbrands Inc. full information regarding the number of shares sold at each separate price. |
(6) | This option was previously reported as covering 30,488 shares at an exercise price of $22.37 per share, but was adjusted to reflect a 4-for-1 stock split that occurred on March 3, 2015. |
(7) | The options vest in three installments of 33% on September 26, 2007, 33% on September 26, 2008 and 34% on September 26, 2009. |
(8) | The options vested in three installments of 33% on September 26, 2007, 33% on September 26, 2008 and 34% on September 26, 2009. |
(9) | This option was previously reported as covering 13,873 shares at an exercise price of $22.37 per share, but was adjusted to reflect a 4-for-1 stock split that occurred on March 3, 2015. |
(10) | The options were immediately exercisable upon grant on September 26, 2006. |
(11) | This option was previously reported as covering 22,759 shares at an exercise price of $22.37 per share, but was adjusted to reflect a 4-for-1 stock split that occurred on March 3, 2015. |
(12) | The options vest in two equal annual installments on August 31, 2007 and August 31, 2008. |