Statement of Changes in Beneficial Ownership (4)
20 6월 2014 - 6:51AM
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
*
Thorne James W
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2. Issuer Name
and
Ticker or Trading Symbol
BANK JOS A CLOTHIERS INC /DE/
[
JOSB
]
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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)
Executive Vice President
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(Last)
(First)
(Middle)
1825 THORNTON RIDGE ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/18/2014
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(Street)
TOWSON, MD 21204
(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
(1)
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6/18/2014
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A
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875.45
(1)
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A
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(1)
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9022.45
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D
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Common Stock, $.01 par value
(1)
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6/18/2014
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D
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875.45
(1)
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D
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$65.00
(1)
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8147
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D
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Common Stock, $.01 par value
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6/18/2014
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U
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8147
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D
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$65.00
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0
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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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Phantom Stock
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(2)
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6/18/2014
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D
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6853
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(2)
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(2)
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Common Stock, $.01 par value
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6853
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$65.00
(2)
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0
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D
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Explanation of Responses:
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(
1)
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The Reporting Person was awarded the securities reported on this line as restricted stock units issued under the Issuer's 2010 Equity Incentive Plan. Each restricted stock unit was canceled in connection with the acquisition of the Issuer by The Men's Wearhouse, Inc. ("Men's Wearhouse") and its wholly owned subsidiary, Java Corp. ("Purchaser"), effective as of June 18, 2014 (the "Merger"), in exchange for the right to receive an amount in cash, payable to the holder thereof, equal to the Merger Consideration (as such term is defined in the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 11, 2014, between the Issuer, Men's Wearhouse and Purchaser).
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(
2)
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The Reporting Person held the phantom stock reported on this line pursuant to the terms of the Issuer's Deferred Compensation Plan. Each share of phantom stock is the economic equivalent of one share of the Issuer's Common Stock. Each share of phantom stock was canceled in connection with the Merger in exchange for the right to receive an amount in cash, payable to the holder thereof, equal to the Merger Consideration (as such term is defined in the Merger Agreement).
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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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Thorne James W
1825 THORNTON RIDGE ROAD
TOWSON, MD 21204
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Executive Vice President
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Signatures
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James W. Thorne
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6/19/2014
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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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