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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 | ||||||||
| Option (Right to Buy) | $ 26.11 | 01/16/2018 | M | 3,100 | (3) | 04/16/2019 | Common Stock, $1 par value. | 3,100 | $ 0 | 0 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| SHIFFMAN STEVEN B C/O CALVIN KLEIN, INC. 205 WEST 39TH STREET NEW YORK, NY 10018 |
President & CEO, Calvin Klein | |||
| Steven B. Shiffman | 01/18/2018 | |
| **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) | In accordance with a domestic relations order, the reporting person transferred to his ex-wife the beneficial ownership of the number of shares of Common Stock subject to stock option awards granted on the dates shown: 3,100 granted on 4/16/09; 1,750 granted on 4/6/10; 1,600 granted on 4/7/11; 1,550 granted on 4/5/12; 1,650 granted on 5/1/13; 1,550 granted on 4/3/14; 1,600 granted on 7/1/14; and 3,500 granted on 4/2/15. The reporting person is deemed to hold these options for the benefit of his ex-wife and can exercise these options solely upon the direction of his ex-wife. The reporting person disclaims beneficial ownership of these options and the underlying shares. The shares reported in Column 4 of Table I were shares delivered to the reporting person pursuant to the exercise of stock options granted on 4/16/09. These options were exercised and the shares were sold at the direction of the reporting person's ex-wife. The reporting person had no pecuniary interest in these shares. |
| (2) | Includes 15,267 shares of Common Stock subject to awards of restricted stock units, of which rights to 1,575 of the shares have been transferred to the reporting person's ex-wife pursuant to a domestic relations order. The reporting person disclaims beneficial ownership of the 1,575 transferred shares. |
| (3) | Options to acquire 775 shares became exercisable on each of 4/16/10, 4/16/11, 4/16/12 and 4/16/13. |