SEC FORM
4
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
C/O LIMITED BRANDS, INC. |
THREE LIMITED PARKWAY |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
LIMITED BRANDS INC
[ LTD ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
X |
10% Owner |
X |
Officer (give title below) |
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Other (specify below) |
Chairman and CEO |
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3. Date of Earliest Transaction
(Month/Day/Year) 11/21/2003
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction 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 |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
11/21/2003 |
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S
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2,846,725 |
D |
$17.75
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3,500,000
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I
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FN
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Common Stock |
11/21/2003 |
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S
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260,667 |
D |
$17.75
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9,389,577
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D
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Common Stock |
11/21/2003 |
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M |
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107,392
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A |
$7.915
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14,447,113
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D
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction 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
(Month/Day/Year) |
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: Direct (D) or Indirect (I) (Instr.
4)
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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 |
Stock Option (right to buy) |
$7.915
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11/21/2003 |
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M |
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107,392
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02/14/2004 |
Common Stock |
107,392
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0 |
D
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1. Name and Address of Reporting Person*
C/O LIMITED BRANDS, INC. |
THREE LIMITED PARKWAY |
(Street)
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1. Name and Address of Reporting Person*
C/O LIMITED BRANDS, INC. |
THREE LIMITED PARKWAY |
(Street)
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Explanation of Responses: |
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Leslie H. Wexner |
11/25/2003 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* 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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
Exhibit 99.1
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Name and Address of Reporting Person: Leslie H. Wexner
c/o Limited Brands, Inc.
Three Limited Parkway
Columbus, OH 43216
Issuer Name and Ticker or Trading Symbol: Limited Brands, Inc. (LTD)
Date of Earliest Transaction Required
to be Reported (Month/Day/Year): 11/21/2003
Amount of
Securities
Beneficially
Owned Ownership
Following Form:
Reported Direct (D) or Nature of Indirect
Title of Security Transaction(s) Indirect (I) Beneficial Ownership
----------------- -------------- ------------ --------------------
Common Stock 15,000,000 I (3) H.R.E.I. Trust
Common Stock 14,447,113 (6)(8) D/I (2) (2)
Common Stock 7,607,899 D/I (1) (1)
Common Stock 7,049,856 (8) I (3) The Abigail Trust
Common Stock 4,892,608 (6) I (3) Wexner Personal Holdings Corporation
Common Stock 3,500,000 (6) I (3) The Wexner Children's Trust II
Common Stock 2,498,670 I (4) The Birthday Trust
Common Stock 1,170,798 (5) I (3) Held in The Limited, Inc. Savings and
Retirement Plan for Leslie H.
Wexner's account
Common Stock 400,000 I (4) Abigail S. Koppel Grantor Trust
See Notes on next page.
Page 3 of 5
Name and Address of Reporting Person: Leslie H. Wexner
c/o Limited Brands, Inc.
Three Limited Parkway
Columbus, OH 43216
Issuer Name and Ticker or Trading Symbol: Limited Brands, Inc. (LTD)
Date of Earliest Transaction Required
to be Reported (Month/Day/Year): 11/21/2003
Notes:
- ------
(1) Owned by Abigail S. Wexner ("Mrs. Wexner") directly. Owned by Leslie H.
Wexner ("Mr. Wexner") indirectly, through Mrs. Wexner.
(2) Owned by Mr. Wexner directly. Owned by Mrs. Wexner indirectly, through Mr.
Wexner.
(3) Owned by Mr. Wexner indirectly. Owned by Mrs. Wexner indirectly, through
Mr. Wexner.
(4) Owned by Mrs. Wexner indirectly. Owned by Mr. Wexner indirectly, through
Mrs. Wexner.
(5) Based on account balance as of October 31, 2003. The Savings and Retirement
Plan is a "qualified plan" within the meaning of Rule 16b-3.
(6) Reflects the transfers on November 21, 2003, of 3,107,392 shares from
Wexner Personal Holdings Corporation to Mr. Wexner and of 2,846,725 shares
from Mr. Wexner to The Wexner Children's Trust II (in transactions exempt
under Rule 16a-13).
(7) Shares contributed to a limited partnership, and the limited partnership
sold the shares.
(8) Reflects the transfer on November 25, 2003, of 4,950,144 shares from The
Abigail Trust to Mr. Wexner (in transactions exempt under Rule 16a-13)
Mr. Wexner and Mrs. Wexner disclaim beneficial ownership of all indirectly
owned securities reported on this Form in excess of their respective
pecuniary interest therein.
Page 4 of 5
Joint Filer Information
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Name of Joint Filer: Abigail S. Wexner
Address of Joint Filer: c/o Limited Brands, Inc.
Three Limited Parkway
Columbus, OH 43216
Relationship of Joint Filer to Issuer: Director
Issuer Name and Ticker or Trading Symbol: Limited Brands, Inc. (LTD)
Date of Earliest Transaction Required
to be Reported (Month/Day/Year): 11/21/2003
Designated Filer: Leslie H. Wexner
SIGNATURE:
Abigail S. Wexner
- ----------------------------
Abigail S. Wexner
November 25, 2003
- -----------------
Date
Page 5 of 5