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*
200 CLARENDON STREET |
35TH FLOOR |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
CARTERS INC
[ CRI ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 11/08/2010
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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 |
11/08/2010 |
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P |
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565,842
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A |
$28.2684
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6,615,136 |
I |
See Footnotes
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Common Stock |
11/08/2010 |
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P |
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7,742
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A |
$28.2684
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105,275 |
D
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Common Stock |
11/08/2010 |
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P |
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7,170
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A |
$28.2684
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53,599 |
D
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Common Stock |
11/08/2010 |
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P |
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18,670
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A |
$28.2684
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224,646 |
D
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Common Stock |
11/08/2010 |
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P |
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576
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A |
$28.2684
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6,944 |
D
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Common Stock |
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22,682 |
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 |
1. Name and Address of Reporting Person*
200 CLARENDON STREET |
35TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
C/O BERKSHIRE PARTNERS LLC |
200 CLARENDON STREET, 35TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
C/O BERKSHIRE PARTNERS LLC |
200 CLARENDON STREET, 35TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
C/O BERKSHIRE PARTNERS LLC |
200 CLARENDON STREET, 35TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
C/O BERKSHIRE PARTNERS LLC |
200 CLARENDON STREET, 35TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
C/O BERKSHIRE PARTNERS LLC |
200 CLARENDON STREET, 35TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
C/O BERKSHIRE PARTNERS LLC |
200 CLARENDON STREET, 35TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
C/O BERKSHIRE PARTNERS LLC |
200 CLARENDON STREET, 35TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
C/O BERKSHIRE PARTNERS LLC |
200 CLARENDON STREET, 35TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
C/O BERKSHIRE PARTNERS LLC |
200 CLARENDON STREET, 35TH FLOOR |
(Street)
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Explanation of Responses: |
Remarks: |
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/s/ Ross M. Jones, Managing Director Berkshire Partners LLC |
11/10/2010 |
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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. |
mm11-0910carter_4e991.htm
Exhibit 99.1
Joint Filer Information
Name of Joint Filer:
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SEVENTH BERKSHIRE ASSOCIATES LLC
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Address of Joint Filer:
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C/O BERKSHIRE PARTNERS LLC
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200 CLARENDON STREET, 35TH FLOOR
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Relationship of Joint Filer to Issuer:
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10% Owner
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Issuer Name and Ticker or Trading Symbol:
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Date of Earliest Transaction
Required to be Reported
(Month/Day/Year): 11/8/10
Designated Filer:
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BERKSHIRE PARTNERS LLC
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Signature:
SEVENTH BERKSHIRE ASSOCIATES LLC
By: /s/ Ross M. Jones
Name: Ross M. Jones
Title: Managing Director
November 10, 2010
Joint Filer Information
Name of Joint Filer:
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STOCKBRIDGE PARTNERS LLC
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Address of Joint Filer:
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C/O BERKSHIRE PARTNERS LLC
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200 CLARENDON STREET, 35TH FLOOR
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Relationship of Joint Filer to Issuer:
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10% Owner
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Issuer Name and Ticker or Trading Symbol:
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Date of Earliest Transaction
Required to be Reported
(Month/Day/Year): 11/8/10
Designated Filer:
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BERKSHIRE PARTNERS LLC
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Signature:
STOCKBRIDGE PARTNERS LLC
By: Berkshire Partners LLC,
its sole Managing Member
By: /s/ Ross M. Jones
Name: Ross M. Jones
Title: Managing Director
November 10, 2010
Joint Filer Information
Name of Joint Filer:
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BERKSHIRE FUND VII, L.P.
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Address of Joint Filer:
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C/O BERKSHIRE PARTNERS LLC
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200 CLARENDON STREET, 35TH FLOOR
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Relationship of Joint Filer to Issuer:
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10% Owner
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Issuer Name and Ticker or Trading Symbol:
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Date of Earliest Transaction
Required to be Reported
(Month/Day/Year): 11/8/10
Designated Filer:
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BERKSHIRE PARTNERS LLC
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Signature:
BERKSHIRE FUND VII, L.P.
By: Seventh Berkshire Associates LLC,
its general partner
By: /s/ Ross M. Jones
Name: Ross M. Jones
Title: Managing Director
November 10, 2010
Joint Filer Information
Name of Joint Filer:
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BERKSHIRE FUND VII-A, L.P.
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Address of Joint Filer:
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C/O BERKSHIRE PARTNERS LLC
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200 CLARENDON STREET, 35TH FLOOR
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Relationship of Joint Filer to Issuer:
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10% Owner
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Issuer Name and Ticker or Trading Symbol:
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Date of Earliest Transaction
Required to be Reported
(Month/Day/Year): 11/8/10
Designated Filer:
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BERKSHIRE PARTNERS LLC
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Signature:
BERKSHIRE FUND VII-A, L.P.
By: Seventh Berkshire Associates LLC,
its general partner
By: /s/ Ross M. Jones
Name: Ross M. Jones
Title: Managing Director
November 10, 2010
Joint Filer Information
Name of Joint Filer:
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BERKSHIRE INVESTORS IV LLC
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Address of Joint Filer:
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C/O BERKSHIRE PARTNERS LLC
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200 CLARENDON STREET, 35TH FLOOR
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Relationship of Joint Filer to Issuer:
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10% Owner
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Issuer Name and Ticker or Trading Symbol:
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Date of Earliest Transaction
Required to be Reported
(Month/Day/Year): 11/8/10
Designated Filer:
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BERKSHIRE PARTNERS LLC
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Signature:
BERKSHIRE INVESTORS IV LLC
By: /s/ Ross M. Jones
Name: Ross M. Jones
Title: Managing Director
November 10, 2010
Joint Filer Information
Name of Joint Filer:
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BERKSHIRE INVESTORS III LLC
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Address of Joint Filer:
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C/O BERKSHIRE PARTNERS LLC
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200 CLARENDON STREET, 35TH FLOOR
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Relationship of Joint Filer to Issuer:
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10% Owner
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Issuer Name and Ticker or Trading Symbol:
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Date of Earliest Transaction
Required to be Reported
(Month/Day/Year): 11/8/10
Designated Filer:
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BERKSHIRE PARTNERS LLC
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Signature:
BERKSHIRE INVESTORS III LLC
By: /s/ Ross M. Jones
Name: Ross M. Jones
Title: Managing Director
November 10, 2010
Joint Filer Information
Name of Joint Filer:
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STOCKBRIDGE ASSOCIATES LLC
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Address of Joint Filer:
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C/O BERKSHIRE PARTNERS LLC
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200 CLARENDON STREET, 35TH FLOOR
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Relationship of Joint Filer to Issuer:
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10% Owner
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Issuer Name and Ticker or Trading Symbol:
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Date of Earliest Transaction
Required to be Reported
(Month/Day/Year): 11/8/2010
Designated Filer:
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BERKSHIRE PARTNERS LLC
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Signature:
STOCKBRIDGE ASSOCIATES LLC
By: /s/ Robert J. Small
Name: Robert J. Small
Title: Managing Director
November 10, 2010
Joint Filer Information
Name of Joint Filer:
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STOCKBRIDGE FUND, L.P.
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Address of Joint Filer:
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C/O BERKSHIRE PARTNERS LLC
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200 CLARENDON STREET, 35TH FLOOR
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Relationship of Joint Filer to Issuer:
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10% Owner
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Issuer Name and Ticker or Trading Symbol:
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Date of Earliest Transaction
Required to be Reported
(Month/Day/Year): 11/8/2010
Designated Filer:
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BERKSHIRE PARTNERS LLC
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Signature:
STOCKBRIDGE FUND, L.P.
By: Stockbridge Associates LLC,
its general partner
By: /s/ Robert J. Small
Name: Robert J. Small
Title: Managing Director
November 10, 2010
Joint Filer Information
Name of Joint Filer:
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STOCKBRIDGE ABSOLUTE RETURN FUND, L.P.
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Address of Joint Filer:
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C/O BERKSHIRE PARTNERS LLC
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200 CLARENDON STREET, 35TH FLOOR
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Relationship of Joint Filer to Issuer:
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10% Owner
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Issuer Name and Ticker or Trading Symbol:
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Date of Earliest Transaction
Required to be Reported
(Month/Day/Year): 11/8/2010
Designated Filer:
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BERKSHIRE PARTNERS LLC
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Signature:
STOCKBRIDGE ABSOLUTE RETURN FUND, L.P.
By: Stockbridge Associates LLC,
its general partner
By: /s/ Robert J. Small
Name: Robert J. Small
Title: Managing Director
November 10, 2010