Annual Statement of Changes in Beneficial Ownership (5)
12 February 2014 - 10:19AM
Edgar (US Regulatory)
FORM 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).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden
hours per response...
1.0
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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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1. Name and Address of Reporting Person
*
BRISKIN BERNARD
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2. Issuer Name
and
Ticker or Trading Symbol
ARDEN GROUP INC [ARDNA]
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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)
_____ Other (specify below)
Chairman, CEO, President
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(Last)
(First)
(Middle)
9595 WILSHIRE BLVD., SUITE 411
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
12/28/2013
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(Street)
BEVERLY HILLS, CA 90212
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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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Amount
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(A) or (D)
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Price
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Class A Common Stock
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12/16/2013
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G
(1)
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262972
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D
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$0
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691397
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D
(1)
(2)
(3)
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Class A Common Stock
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768358
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I
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See Footnotes
(2)
(3)
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Class A Common Stock
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186096
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I
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See Footnote
(4)
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Class A Common Stock
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86921
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I
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See Footnote
(5)
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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 Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. 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
(MM/DD/YYYY)
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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 at End of Issuer's Fiscal Year
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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These shares were a gift to a trust of the reporting person's wife. The reporting person's wife is the sole trustee of this trust. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
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(
2)
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On December 18, 2013, (i) a trust of the reporting person's wife contributed 278,063 shares of the Issuer's common stock to a charitable remainder trust of which the reporting person and his wife are trustees and of which the reporting person's wife is a beneficiary; (ii) the reporting person contributed 92,687 shares of the Issuer's common stock to a charitable remainder trust of which the reporting person is a trustee and beneficiary; and (iii) the reporting person contributed 236,984 shares of the Issuer's common stock to a charitable remainder trust of which the reporting person and his wife are trustees and beneficiaries. The reporting person continues to report beneficial ownership of all of the Issuer's common stock held by these trusts but disclaims beneficial ownership except to the extent of his and his wife's pecuniary interest therein.
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(
3)
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On December 19, 2013, the reporting person contributed 160,624 shares of the Issuer's common stock to a charitable remainder trust, of which the reporting person and his wife are trustees and beneficiaries. The reporting person continues to report beneficial ownership of all of the Issuer's common stock held by this trust but disclaims beneficial ownership except to the extent of his and his wife's pecuniary interest therein.
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(
4)
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Held in trust for the benefit of the reporting person and children. The reporting person is a co-trustee and a beneficiary with special power of appointment. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
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(
5)
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Held by spouse of reporting person through a trust or in IRA accounts for her benefit. The reporting person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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BRISKIN BERNARD
9595 WILSHIRE BLVD.
SUITE 411
BEVERLY HILLS, CA 90212
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X
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X
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Chairman, CEO, President
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Signatures
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/s/Bernard Briskin
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2/11/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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