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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 | ||||||||
Restricted Stock Units | (3) | 04/10/2011 | M | 4,151 | (4) | (5) | Common Stock | 4,151 | $ 0 | 13,246 (6) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Harvey Richard A. 3250 VAN NESS AVENUE SAN FRANCISCO, CA 94109 |
PRESIDENT WS BRAND |
By: Attorney-in-Fact: Laurel Pies For: Richard A. Harvey | 04/12/2011 | |
**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) | Represents the number of shares withheld upon vesting of restricted stock units to cover tax withholding obligations. |
(2) | The reporting person owns $830,134.73 in the Williams-Sonoma, Inc. stock fund under the Williams-Sonoma, Inc. 401(k) Plan, based on a statement dated April 12, 2011. The number of shares indirectly owned by Managed Account and listed in Table 1 was calculated by dividing the amount owned in the Williams-Sonoma, Inc. stock fund by $42.17 the closing price of Williams-Sonoma, Inc. common stock on April 11, 2011. |
(3) | Each restricted stock unit represents a contingent right to receive one share of WSM common stock. |
(4) | The restricted stock units vested and shares of WSM common stock were deliverable on April 10, 2011. |
(5) | The restricted stock units were cancelled upon vesting and delivery of shares of WSM common stock. |
(6) | The remaining RSUs vest as follows: 2,688 shares on April 10, 2012 and 10,558 shares on May 2, 2012. |