-----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, LVBYd7CfdXsYd/nvYvZVboGDq2tMkubnv2k5ZAeo5BD0rjE6qafLE9ptVbVHPC28 b0P+h4A1Z/77YQ89I1euTg== 0000950134-01-002164.txt : 20010316 0000950134-01-002164.hdr.sgml : 20010316 ACCESSION NUMBER: 0000950134-01-002164 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010131 FILED AS OF DATE: 20010315 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: 751386375 STATE OF INCORPORATION: TX FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-24381 FILM NUMBER: 1569382 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: VAN ONGEVALLE ALAN CENTRAL INDEX KEY: 0001114614 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: PO BOX 35350 CITY: AMARILLO STATE: TX ZIP: 79120 BUSINESS PHONE: 8063572300 MAIL ADDRESS: STREET 1: PO BOX 35350 CITY: AMARILLO STATE: TX ZIP: 79120 5 1 d85084fe5.txt FORM 5 - ALAN VAN ONGEVALLE 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 [X] 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 Van Ongevalle Alan Hastings Entertainment, Inc. / HAST Issuer (Check all applicable) - ------------------------------------------- --------------------------------------------- Director 10% Owner (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- --- Number of Reporting Month/Year X Officer (give Other (specify 3601 Plains Blvd Person (Voluntary) 1-31-2001 ---- title --- below) - ------------------------------------------- ------------------- below) (Street) -------------------- 5. If Amendment, Vice President - Marketing Date of Original ------------------------------- Amarillo Tx 79102 (Month/Year) - ------------------------------------------- 7. Individual or Joint/Group Reporting (City) (State) (Zip) ------------------ (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) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 10-7-2000 A 4,056 A (1) 9,115 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 128(2) I by 401k - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 601(3) I by ASOP - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ (1) Award of Restricted Stock was in exchange for outstanding stock options. See Table II. (2) Purchase through the company's 401k Plan. Information is based on plan statement as of 1/31/2001. (3) Purchase through the company's ASOP Plan. Information is based on plan statement as of 1/31/2001. *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) - ------------------------------------------------------------------------------------------------------------------------------------ 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 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Common (Right to Buy) $10.00 10/7/2000 H-4 2,530 (5) 5/22/07 Stock 2,530 (4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Common (Right to Buy) $10.00 10/7/2000 H-4 2,000 (6) 7/17/08 Stock 2,000 (4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Common (Right to Buy) $10.00 10/7/2000 H-4 3,541 (7) 2/27/08 Stock 3,541 (4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Common (Right to Buy) $ 9.69 10/7/2000 H-4 5,000 (8) 9/17/09 Stock 5,000 (4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 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) - ------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------ Explanation of Responses: (4) Cancellation of Stock Options was in exchange for award of Restricted Stock Units. See Table I. (5) Granted 10/30/98, vested 20% on each anniversary of 5/22/97. (6) Granted 10/30/98, vested 20% on each anniversary of 7/17/98. (7) Granted 10/30/98, vested 20% on each anniversary of 6/11/98. (8) Granted 9/17/99, vested 20% on each anniversary of 9/17/99. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Alan Van Ongevalle 3/14/01 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-----