Attached files
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| EX-99.1 - EX-99.1 - BON TON STORES INC | a12-27819_1ex99d1.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): November 21, 2012
THE BON-TON STORES, INC.
(Exact name of registrant as specified in its charter)
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Pennsylvania |
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0-19517 |
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23-2835229 |
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(State or Other Jurisdiction |
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(Commission File |
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(IRS Employer |
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of Incorporation) |
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Number) |
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Identification No.) |
2801 E. Market Street, York, Pennsylvania 17402
(Address of Principal Executive Offices)
717-757-7660
(Registrant’s Telephone Number, including Area Code)
Not Applicable
(Former Name or Former Address, If Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 5.04. Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans.
On November 21, 2012, The Bon-Ton Stores, Inc. (the “Company”) received the notice required by section 101(i)(2)(E) of the Employment Retirement Income Security Act of 1974 and provided a notice to its executive officers and directors informing them of a blackout period for the Company’s Retirement Contribution Plan (the “Plan”), as a result of the Company replacing the administrator of the Plan, and the trading restrictions that apply to the executive officers and directors during the blackout period. This notice was required pursuant to Section 306 of the Sarbanes-Oxley Act of 2002 and the Securities and Exchange Commission’s Regulation BTR which prohibit trading in Company securities by executive officers and directors during blackout periods.
The blackout period will begin at 4:00 p.m. Eastern Time on November 28, 2012 and last through December 14, 2012 (such period, the “Blackout Period”).
A copy of the notice to the directors and executive officers is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
99.1 Notice to executive officers and directors of blackout period and trading restrictions dated November 21, 2012.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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The Bon-Ton Stores, Inc. | |
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By: |
/s/ Keith E. Plowman |
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Keith E. Plowman |
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Executive Vice President, Chief Financial |
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Officer and Principal Accounting Officer |
Dated: November 21, 2012