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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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*
UPBIN HAL J

(Last) (First) (Middle)
600 KELLWOOD PARKWAY

(Street)
CHESTERFIELD MO 63017

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
KELLWOOD CO [ KWD ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chairman & CEO
3. Date of Earliest Transaction (Month/Day/Year)
04/21/2004
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 04/21/2004 M 9,700 A $20.31 116,975 D
Common Stock 04/21/2004 M 10,000 A $19.69 126,975 D
Common Stock 04/21/2004 M 20,000 A $20.31 146,975 D
Common Stock 04/21/2004 M 38,160 A $16.13 185,135 D
Common Stock 04/21/2004 M 36,200 A $25.31 221,335 D
Common Stock 04/21/2004 M 40,000 A $33.78 261,335 D
Common Stock 04/21/2004 M 47,300 A $32.28 308,635 D
Common Stock 04/21/2004 M 4,000 A $20.31 312,635 D
Common Stock 04/22/2004 S 300(13) D $41.54 312,335 D
Common Stock 04/22/2004 S 700(13) D $41.56 311,635 D
Common Stock 04/22/2004 S 800(13) D $41.57 310,835 D
Common Stock 04/22/2004 S 300(13) D $41.58 310,535 D
Common Stock 04/22/2004 S 300(13) D $41.59 310,235 D
Common Stock 04/22/2004 S 300(13) D $41.63 309,935 D
Common Stock 04/22/2004 S 100(13) D $41.65 309,835 D
Common Stock 04/22/2004 S 300(13) D $41.66 309,535 D
Common Stock 04/22/2004 S 500(13) D $41.67 309,035 D
Common Stock 04/22/2004 S 200(13) D $41.68 308,835 D
Common Stock 04/22/2004 S 900(13) D $41.69 307,935 D
Common Stock 04/22/2004 S 3,100(13) D $41.7 304,835 D
Common Stock 04/22/2004 S 1,300(13) D $41.71 303,535 D
Common Stock 04/22/2004 S 400(13) D $41.72 303,135 D
Common Stock 04/22/2004 S 5,100(13) D $41.77 298,035 D
Common Stock 04/22/2004 S 4,300(13) D $41.78 293,735 D
Common Stock 04/22/2004 S 1,300(13) D $41.79 292,435 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
Employee Stock Option (right to buy)(1)(2) $20.31 04/21/2004 M 9,700 06/01/1995(3) 06/01/2004 Common Stock 9,700 $0 0 D
Employee Stock Option (right to buy)(1)(2) $19.69 04/21/2004 M 10,000 11/22/1995(4) 11/22/2004 Common Stock 10,000 $0 0 D
Employee Stock Option (right to buy)(1)(5) $20.31 04/21/2004 M 20,000 08/24/1996(6) 08/24/2005 Common Stock 20,000 $0 0 D
Employee Stock Option (right to buy)(1)(5) $16.13 04/21/2004 M 38,160 05/30/1997(7) 05/30/2006 Common Stock 38,160 $0 0 D
Employee Stock Option (right to buy)(1)(5) $25.31 04/21/2004 M 36,200 05/29/1998(8) 05/29/2007 Common Stock 36,200 $0 0 D
Employee Stock Option (right to buy)(1)(5) $33.78 04/21/2004 M 40,000 12/01/1998(9) 12/01/2007 Common Stock 40,000 $0 0 D
Employee Stock Option (right to buy)(1)(5) $32.28 04/21/2004 M 47,300 05/28/1999(10) 05/28/2008 Common Stock 47,300 $0 0 D
Employee Stock Option (right to buy)(1)(11) $20.31 04/21/2004 M 4,000 06/01/1995(12) 06/01/2004 Common Stock 4,000 $0 0 D
Explanation of Responses:
1. Grant of tax withholding right to pay withholding taxes due upon the exercise of an option.
2. Granted under the Kellwood Company 1990 Omnibus Incentive Stock Plan - NQ.
3. 1,940 shares became exercisable on 6/1 of each of 1995, 1996, 1997, 1998 and 1999.
4. 2,000 shares became exercisable on 11/22 of each of 1995, 1996, 1997, 1998 and 1999.
5. Granted under the Kellwood Company 1995 Omnibus Incentive Stock Plan - NQ.
6. 4,000 shares became exercisable on 8/24 on each of 1996, 1997, 1998, 1999 and 2000.
7. 7,632 shares became exercisable on 5/30 of each of 1997, 1998, 1999, 2000 and 2001.
8. 7,240 shares became exercisable on 5/29 of each of 1998, 1999, 2000, 2001 and 2002.
9. 8,000 shares became exercisable on 12/1 of each of 1998, 1999, 2000, 2001 and 2002.
10. 9,460 shares became exercisable on 5/28 of each of 1999, 2000, 2001, 2002 and 2003.
11. Granted under the Kellwood Company 1990 Omnibus Incentive Stock Plan - ISO.
12. 800 shares became exercisable on 6/1 of each of 1995, 1996, 1997, 1998 and 1999.
13. Sale made pursuant to a plan intended to comply with Rule 10b5-1 previously adopted on 4/21/04 when Mr. Upbin was not in possession of material non-public information.
Remarks:
Thomas H. Pollihan, Attorney-in-Fact for Hal J. Upbin 04/23/2004
** 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.