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
 
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
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*
KANE ALICE

(Last) (First) (Middle)
C/O GUESS?, INC.
1444 SOUTH ALAMEDA STREET

(Street)
LOS ANGELES CA 90021

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GUESS INC ET AL/CA/ [ GES ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/08/2004
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/08/2004 M 19,948 A $4.15 31,948 D
Common Stock 03/08/2004 M 2,250 A $4.301 34,198 D
Common Stock 03/08/2004 M 7,250 A $4.303 41,448 D
Common Stock 03/08/2004 M 9,882 A $5.06 51,330 D
Common Stock 03/08/2004 M 10,504 A $5.063 61,834 D
Common Stock 03/08/2004 M 1,500 A $6.51 63,334 D
Common Stock 03/08/2004 M 4,647 A $7.1 67,981 D
Common Stock 03/08/2004 M 6,528 A $7.66 74,509 D
Common Stock 03/08/2004 S 18,073 D $17.057 56,436 D
Common Stock 03/08/2004 S 1,875 D $17 54,561 D
Common Stock 03/08/2004 S 2,250 D $17.007 52,311 D
Common Stock 03/08/2004 S 5,000 D $16.8777 47,311 D
Common Stock 03/08/2004 S 2,250 D $16.83 45,061 D
Common Stock 03/08/2004 S 9,882 D $16.8382 35,179 D
Common Stock 03/08/2004 S 627 D $16.82 34,552 D
Common Stock 03/08/2004 S 9,877 D $16.6961 24,675 D
Common Stock 03/08/2004 S 1,500 D $16.6 23,175 D
Common Stock 03/08/2004 S 3,522 D $16.5683 19,653 D
Common Stock 03/08/2004 S 1,125 D $16.55 18,528 D
Common Stock 03/08/2004 S 6,528 D $16.6256 12,000 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy) $4.15 03/08/2004 M 18,073 (1) 01/02/2013 Common Stock 18,073 (13) 0 D
Stock Option (right to buy) $4.15 03/08/2004 M 1,875 (2) 01/02/2013 Common Stock 1,875 (13) 0 D
Stock Option (right to buy) $4.301 03/08/2004 M 2,250 (3) 01/02/2011 Common Stock 2,250 (13) 750 D
Stock Option (right to buy) $4.303 03/08/2004 M 5,000 (4) 06/03/2008 Common Stock 5,000 (13) 0 D
Stock Option (right to buy) $4.303 03/08/2004 M 2,250 (5) 01/04/2009 Common Stock 2,250 (13) 0 D
Stock Option (right to buy) $5.06 03/08/2004 M 9,882 (6) 01/02/2011 Common Stock 9,882 (13) 0 D
Stock Option (right to buy) $5.063 03/08/2004 M 627 (7) 06/03/2008 Common Stock 627 (13) 0 D
Stock Option (right to buy) $5.063 03/08/2004 M 9,877 (8) 01/04/2009 Common Stock 9,877 (13) 0 D
Stock Option (right to buy) $6.51 03/08/2004 M 1,500 (9) 01/02/2012 Common Stock 1,500 (13) 1,500 D
Stock Option (right to buy) $7.1 03/08/2004 M 3,522 (10) 05/13/2012 Common Stock 3,522 (13) 0 D
Stock Option (right to buy) $7.1 03/08/2004 M 1,125 (11) 05/13/2012 Common Stock 1,125 (13) 3,375 D
Stock Option (right to buy) $7.66 03/08/2004 M 6,528 (12) 01/02/2012 Common Stock 6,528 (13) 0 D
Explanation of Responses:
1. The option vested in four equal installments on 4/2/2003, 7/2/2003, 10/2/2003 and 1/2/2004.
2. One-fourth of the option vested on 1/2/2004.
3. Three-fourths of the option vested in equal installments on 1/2/2002, 1/2/2003 and 1/2/2004.
4. The option vested in four equal installments on 6/3/1999, 6/3/2000, 6/3/2001 and 6/3/2002.
5. The option vested in four equal installments on 1/4/2000, 1/4/2001, 1/4/2002 and 1/4/2003.
6. The option vested in four equal installments on 4/1/2001, 7/1/2001, 9/30/2001 and 1/1/2002.
7. The option vested in four equal installments on 9/3/1998, 12/3/1998, 3/3/1999 and 6/3/1999.
8. The option vested in four equal installments on 4/1/1999, 7/1/1999, 10/1/1999 and 1/1/2000. .
9. One-half of the option vested in equal installments on 1/2/2003 and 1/2/2004.
10. The option vested in four equal installments on 8/13/2002, 11/13/2002, 2/13/2003 and 5/13/2003.
11. One-fourth of the option vested on 5/13/2003.
12. The option vested in four equal installments on 3/31/2002, 6/30/2002, 9/29/2002 and 1/1/2003.
13. The options were disposed of through exercise.
Remarks:
Alice T. Kane 03/10/2004
** 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.