U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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(f) of the Investment Company Act of 1940
/ / Check 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*
Tolworthy Thomas A.
(Last) (First) (Middle)
c/o Barnes & Noble, Inc.
122 Fifth Avenue
(Street)
New York New York 10011
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Barnes & Noble, Inc. Symbol=BKS
3. IRS or Social Security Number of Reporting Person (Voluntary)
4. Statement for Month/Year
September 1997
5. If Amendment, Date of Original (Month/Year)
6. Relationship of Reporting Person to Issuer (Check all applicable)
/ / Director / / 10% Owner
/X/ Officer (give title below) / / Other (Specify below)
Vice President
7. Individual or Joint/Group Filing (Check applicable line)
/X/ Form Filed by one Reporting Person
/ / Form Filed by more than one Reporting Person
<PAGE>
<TABLE>
<CAPTION>
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
5. Amount of
Securi-
ties
4. Securities Acquired (A) Bene- 6. Owner-
2. Trans- 3. Trans- or Disposed of (D) ficially ship
action action (Instr. 3, 4 and 5) Owned at Form: 7. Nature of
Date Code --------------------------- End of Direct(D) or Indirect
(Month/ (Instr. 8) (A) Month Indirect Beneficial
1. Title of Security Day/ ------------ Amount or Price (Instr. (I) Ownership
(Instr.3) Year) Code V (D) 3 and 4) (Instr.4) (Instr. 4)
- ----------------------------- --------- ----- --- -------- --- -------- ------------ ------------- ----------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock, par value $.001 9/11/97 M 5,000 A $20.000
Common Stock, par value $.001 9/11/97 S 5,000 D $46.000
Common Stock, par value $.001 9/11/97 M 3,859 A $24.000
Common Stock, par value $.001 9/11/97 S 3,859 D $46.000
Common Stock, par value $.001 9/11/97 M 10,000 A $30.000
Common Stock, par value $.001 9/11/97 S 10,000 D $46.000
Common Stock, par value $.001 9/16/97 M 10,000 A $24.375
Common Stock, par value $.001 9/16/97 S 10,000 D $48.000 -0-
</TABLE>
* If the Form is filed by more than one Reporting Person,
see Instruction 4(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Response)
<PAGE>
<TABLE>
<CAPTION> Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
2. Conver- 5. Number of Deriv- 6. Date Exercisable
sion or 3. Trans- 4. Trans- ative Securities and Expiration Date
Exercise action action Acquired (A) or (Month/Day/Year)
Price of Date Code Disposed of (D) -----------------------
Deriv- (Month/ (Instr. 8) (Instr. 3, 4, and 5) Date
1. Title of Derivative Security ative Day/ ---------- ----------------------- Exercis- Expiration
(Instr. 3) Security Year) Code V A D able Date
- ---------------------------------- ----------- ---------- ----- ----- ----------- ----------- ---------- ----------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
Stock Option (Right to Buy) $20.000 9/11/97 M 5,000 (1) 9/27/03
Stock Option (Right to Buy) $24.000 9/11/97 M 3,859 (2) 4/1/04
Stock Option (Right to Buy) $30.000 9/11/97 M 10,000 (3) 4/4/05
Stock Option (Right to Buy) $24.375 9/16/97 M 10,000 1/16/97 1/16/06
Stock Option (Right to Buy) $34.250 4/3/97 A V 29,989 (4) 4/2/07
9. Number of 10. Ownership Form
Derivative of Deriv-
Securities ative
7. Title and Amount of Underlying Benefi- Security:
Securities (Instr. 3 and 4) cially Direct 11. Nature of
--------------------------------- 8. Price of Owned (D) or Indirect
Amount or Derivative at End Indirect Beneficial
1. Title of Derivative Title Number of Security of Month (I) Ownership
Security (Instr. 3) Shares (Instr. 5) (Instr. 4) (Instr. 4) (Instr. 4)
- ---------------------- -------------------- --------- ------------- ------------- -------------- --------------
<S> <C> <C> <C> <C> <C> <C>
Stock Option (Right to Buy) Common Stock 5,000
Stock Option (Right to Buy) Common Stock 1,069
Stock Option (Right to Buy) Common Stock 2,188
Stock Option (Right to Buy) Common Stock 3,000
Stock Option (Right to Buy) Common Stock 29,989 90,033(5) D
</TABLE>
Explanation of Responses:
(1) These options became exercisable in one-third increments on September 27
of each of the years 1994 through 1996.
(2) These options became exercisable in one-third increments on April 1 of
each of the years 1995 through 1997.
(3) These options became exercisable in one-half increments on April 4 of
each of the years 1996 and 1997.
(4) These options become exercisable in one-fourth increments on April 3 of
each of the years 1998 through 2001.
(5) Represents the total number of stock options (right to buy) beneficially
owned by the Reporting Person with respect to the Issuer's Common Stock,
par value $.001.
/s/ Thomas A. Tolworthy October 9, 1997
------------------------------- --------------------
**Signature of Reporting Person Date
** 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 provided is insufficient, see Instruction 6 for procedure.
