-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DfJAtpuulxopkr0XVS6MTUlH15EbdoXrMIHaNDjLXVjKO3XRySBhbU9u/8GW8lU5 kM8pqDIJASaQ3VeMb+ylIA== 0000950134-00-002073.txt : 20000320 0000950134-00-002073.hdr.sgml : 20000320 ACCESSION NUMBER: 0000950134-00-002073 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000131 FILED AS OF DATE: 20000317 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HASTINGS ENTERTAINMENT INC CENTRAL INDEX KEY: 0001054579 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] IRS NUMBER: 751386475 STATE OF INCORPORATION: TX FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-24381 FILM NUMBER: 572962 BUSINESS ADDRESS: STREET 1: 3601 PLANS BLVD STREET 2: SUITE 1 CITY: AMARILLO STATE: TX ZIP: 79102 BUSINESS PHONE: 8063512300 MAIL ADDRESS: STREET 1: P O BOX 35350 CITY: AMARILLO STATE: TX ZIP: 79120-5350 COMPANY DATA: COMPANY CONFORMED NAME: HICKS STEVE CENTRAL INDEX KEY: 0001092525 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 3601 PLAINS BLVD SUITE 1 CITY: ARMANILLO STATE: TX ZIP: 79120 BUSINESS PHONE: 8063512300 MAIL ADDRESS: STREET 1: 3601 PLAINS BLVD SUITE 1 CITY: ARMANILLO STATE: TX ZIP: 79120 5 1 FORM 5 - STEVE HICKS 1 -------------------------- OMB APPROVAL -------------------------- - ------ OMB Number: 3235-0362 FORM 5 Expires: December 31, 2001 - ------ Estimated average burden hours per response.... 1.0 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] CHECK BOX IF NO LONGER SUBJECT TO SECTION 16. FORM 4 OR FORM 5 OBLIGATIONS MAY CONTINUE. SEE Filed pursuant to Section 16(a) of the Securities INSTRUCTION 1(b). Exchange Act of 1934, [ ] FORM 3 HOLDINGS Section 17(a) of the Public Utility REPORTED Holding Company Act of 1935 or Section 30(f) of [ ] FORM 4 the Investment Company Act TRANSACTIONS of 1940 REPORTED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Hicks Steve Hastings Entertainment Inc/HAST Issuer (Check all applicable) - ------------------------------------------- --------------------------------------------- Director 10% Owner (Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for ---- --- 3601 Plains Blvd Number of Reporting Month/Year X Officer (give Other (specify - ------------------------------------------- Person, if an entity 1/2000 ---- title --- below) (Street) (Voluntary) ------------------- below) Amarillo TX 79102 5. If Amendment, Vice President - Purchasing ------------------------------------------ Date of Original ------------------------------- (City) (State) (Zip) (Month/Year) 7. Individual or Joint/Group Reporting ------------------ (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 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Month/ (Instr. end of Issuer's Direct Benefi- Day/ 8) Fiscal Year (D) or cial Year) ---------------------------- (Instr. 3 and 4) Indirect Owner- Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ *If the form is filed by more than one reporting person, see Instruction 4(b)(v). (Over) SEC 2270 (3-99) POTENTIAL PERSONS WHO ARE TO 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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FORM 5 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) Hicks - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv- Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative Deriv- Day/ Disposed of (D) (Month/Day/ Secur- ative Year) (Instr. 3, 4, Year) ity Security and 5) (Instr. 5) ----------------------------------- Date Expira- Amount or --------------- Exer- tion Number of (A) (D) cisable Date Title Shares - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION (RIGHT TO BUY) 12.00 7/16/99 A 7,000 (1) 7/16/09 COMMON STOCK 7,000 - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION (RIGHT TO BUY) 6.92 12/15/92 A 2,530 (2) 12/15/02 COMMON STOCK 2,530 - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION (RIGHT TO BUY) 10.00 10/30/98 A 3,794 (3) 8/28/07 COMMON STOCK 3,794 - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION (RIGHT TO BUY) 10.00 10/30/98 A 7,589 (4) 8/26/05 COMMON STOCK 7,589 - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION (RIGHT TO BUY) 10.00 10/30/98 A 5,059 (5) 4/20/04 COMMON STOCK 5,059 - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION (RIGHT TO BUY) 10.00 10/30/98 A 2,530 (6) 5/18/06 COMMON STOCK 2,530 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 9. Number of 10. Ownership 11. Nature of Derivative of Derivative Indirect Securities Security: Beneficial Beneficially Direct (D) Ownership Owned at End or Indirect (I) (Instr. 4) of Year (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------ D - ------------------------------------------------------------------------------------------------------ D - ------------------------------------------------------------------------------------------------------ D - ------------------------------------------------------------------------------------------------------ D - ------------------------------------------------------------------------------------------------------ D - ------------------------------------------------------------------------------------------------------ 13,945 D - ------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) Vest 1/5 on 7/16/00, 7/16/01, 7/16/02, 7/16/03 & 7/16/04 (2) Vest 1/7 on each of 12/15/93, 12/15/94, 12/15/95, 12/15/96, 12/15/97, 12/15/98, & 12/15/99 (3) Vest 20% on each of 8/28/98, 8/28/99, 8/28/00, 8/28/01, & 8/28/02 (4) Vest 20% on each of 8/26/96, 8/26/97, 8/28/98, 8/28/99, & 8/28/00 (5) Vest 20% on each of 4/20/95, 4/20/96, 4/20/97, 4/20/98, & 4/20/99 (6) Vest 20% on each of 5/18/97, 5/18/98, 5/18/99, 5/18/00, & 5/18/01 **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ STEVE HICKS See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- ------- **Signature of Reporting Person Date Note. File three copies of this Form, one of which must be manually signed. Page 2 If space is insufficient, see Instruction 6 for procedure. SEC 2270 (3-99)
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. -----END PRIVACY-ENHANCED MESSAGE-----