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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fishman Steven S 300 PHILLIPI ROAD COLUMBUS, OH 43228 |
X | Chairman, CEO & President |
Joseph Y. Heuer, Attorney-in-fact for Steven S. Fishman | 03/08/2013 | |
**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) | On March 6, 2012, the reporting person received a performance-based restricted stock award consisting of 240,000 shares of BIG common stock ("2012 Award"). The 2012 Award vested if Big Lots, Inc. ("Big Lots") achieved a corporate performance measure during Big Lots' 2012 fiscal year. On March 6, 2013, Big Lots' Board of Directors certified that the corporate performance measure was not achieved and the 2012 Award was forfeited. |
(2) | On November 17, 2010, the reporting person contributed 210,058 shares of BIG common stock and to a grantor retained annuity trust ("2010 GRAT") for the benefit of himself and his heirs and, on February 19, 2013, 63,713 shares of BIG common stock were distributed as an annuity from the 2010 GRAT to the reporting person. On July 14, 2011, the reporting person contributed 143,875 shares of BIG common stock to a grantor retained annuity trust ("2011 GRAT") for the benefit of himself and his heirs and, on July 25, 2012, 50,200 shares of BIG common stock were distributed as an annuity from the 2011 GRAT to the reporting person. The 113,913 shares of BIG common stock which were distributed to the reporting person as an annuity under 2010 GRAT and the 2011 GRAT continue to be reported on this Form 4 as directly owned. |