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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 | ||||||||
ICON April 16 10 Call | $ 10 | 03/14/2016 | P | 5 | (2) | 04/15/2016 | Common Stock | 100 | $ 0.5 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON April 16 10 Call | $ 10 | 03/14/2016 | S | 2 | (2) | 04/15/2016 | Common Stock | 100 | $ 0.4 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON April 16 10 Call | $ 10 | 03/14/2016 | S | 50 | (2) | 04/15/2016 | Common Stock | 100 | $ 0.4 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON April 16 10 Put | $ 5 | 03/14/2016 | P | 16 | (2) | 04/15/2016 | Common Stock | 100 | $ 0.15 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON April 16 10 Put | $ 5 | 03/14/2016 | P | 1 | (2) | 04/15/2016 | Common Stock | 100 | $ 0.15 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON April 16 7.5 P | $ 7.5 | 03/14/2016 | P | 20 | (2) | 04/15/2016 | Common Stock | 100 | $ 0.8 | 4,726,837 (1) | I | by Barclays Capital Inc | |||
ICON April 16 7.5 P | $ 7.5 | 03/14/2016 | P | 2 | (2) | 04/15/2016 | Common Stock | 100 | $ 0.8 | 4,726,837 (1) | I | by Barclays Capital Inc | |||
ICON July 2016 5 Put | $ 5 | 03/14/2016 | S | 10 | (2) | 07/15/2016 | Common Stock | 100 | $ 0.65 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON July 2016 5 Put | $ 5 | 03/14/2016 | S | 1 | (2) | 07/15/2016 | Common Stock | 100 | $ 0.65 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON May 2016 10 Call | $ 10 | 03/14/2016 | S | 1 | (2) | 05/20/2016 | Common Stock | 100 | $ 0.7 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON May 2016 10 Call | $ 10 | 03/14/2016 | S | 1 | (2) | 05/20/2016 | Common Stock | 100 | $ 0.64 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON May 2016 10 Call | $ 10 | 03/14/2016 | S | 1 | (2) | 05/20/2016 | Common Stock | 100 | $ 0.64 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON May 2016 7.5 Call | $ 7.5 | 03/14/2016 | P | 1 | (2) | 05/20/2016 | Common Stock | 100 | $ 1.7 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON May 2016 7.5 Call | $ 7.5 | 03/14/2016 | P | 1 | (2) | 05/20/2016 | Common Stock | 100 | $ 1.64 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON May 2016 7.5 Call | $ 7.5 | 03/14/2016 | P | 1 | (2) | 05/20/2016 | Common Stock | 100 | $ 1.64 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON April 16 10 Call | $ 10 | 03/15/2016 | S | 11 | (2) | 04/15/2016 | Common Stock | 100 | $ 0.37 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON March 2016 7.5 Put | $ 7.5 | 03/15/2016 | P | 5 | (2) | 03/18/2016 | Common Stock | 100 | $ 0.15 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON Aug 2016 17.5 Call | $ 17.5 | 03/18/2016 | P | 1 | (2) | 08/19/2016 | Common Stock | 100 | $ 0.1 | 4,726,837 (1) | I | by Barclays Capital Inc | |||
ICON Aug 2016 17.5 Call | $ 17.5 | 03/18/2016 | P | 1 | (2) | 08/19/2016 | Common Stock | 100 | $ 0.1 | 4,726,837 (1) | I | by Barclays Capital Inc | |||
ICON March 2016 7.5 Call | $ 7.5 | 03/18/2016 | P | 5 | (2) | 03/18/2016 | Common Stock | 100 | $ 0.91 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON Aug 2016 5 Put | $ 5 | 03/24/2016 | P | 2 | (2) | 08/19/2016 | Common Stock | 100 | $ 0.5 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON Aug 2016 5 Put | $ 5 | 03/24/2016 | P | 1 | (2) | 08/19/2016 | Common Stock | 100 | $ 0.5 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON Aug 2016 7.5 Call | $ 7.5 | 03/24/2016 | S | 7 | (2) | 08/19/2016 | Common Stock | 100 | $ 2 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON Aug 2016 7.5 Call | $ 7.5 | 03/24/2016 | S | 9 | (2) | 08/19/2016 | Common Stock | 100 | $ 2 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON Jan 2018 5 Call | $ 5 | 03/24/2016 | S | 20 | (2) | 01/19/2018 | Common Stock | 100 | $ 4.38 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON Jan 2018 7.5 Call | $ 7.5 | 03/24/2016 | P | 20 | (2) | 01/19/2018 | Common Stock | 100 | $ 3.2 | 4,726,837 (1) | I | by Barclays Capital Inc. | |||
ICON April 16 10 Call | $ 10 | 03/28/2016 | S | 3 | (2) | 04/15/2016 | Common Stock | 100 | $ 0.19 | 4,726,837 (1) | I | by Barclays Capital Inc. |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BARCLAYS PLC 1 CHURCHILL PLACE LONDON, X0 E14 5HP |
X |
/s/ James Gibson Head of Large Holdings Compliance | 04/14/2016 | |
**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) | As of March 10, 2016, the Reporting Persons beneficially owned 5,062,950 shares of common stock of Iconix Brand Group Inc. The amount set forth in column 5 represents the Reporting Persons' beneficial ownership of the common stock of the Issuer as of the close of business on March 28, 2016; ownership information after each reported transaction is not reasonably available to the Reporting Persons. |
(2) | The derivative security is exercisable at any time. |
Remarks: (a) Name of Person Filing: (1) Barclays PLC (2) Barclays Capital Inc. (controlled by Barclays PLC) (3) Barclays Capital Derivative Funding (controlled by Barclays Bank PLC) (b) Address of Principal Business Office or, if none, Residence: (1) Barclays PLC 1 Churchill Place, London, E14 5HP, England (2) Barclays Capital Inc 745 Seventh Avenue New York, New York 10019 United States (3) Barclays Capital Derivative Funding LLC c/o Corporation Trust Company, Corporation Trust Center 1209 Orange Street Wilmington, DE 19801 (c) The Reporting Persons will send the Issuer a check promptly following the date of this filing in the amount of profit subject to short-swing recovery as a result of the reported transactions. |