5 1 d85084be5.txt FORM 5 - JOHN H. MARMADUKE 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 Marmaduke John H. Hastings Entertainment, Inc. / HAST Issuer (Check all applicable) ------------------------------------------- --------------------------------------------- X Director X 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, President & CEO 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 417,808 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 6,700(1) I by 401k ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 2,053(2) I by ASOP ------------------------------------------------------------------------------------------------------------------------------------ by Ltd Common Stock 2,254,525 I Partnership ------------------------------------------------------------------------------------------------------------------------------------ by Estate of Common Stock 1,024,403 I S. Marmaduke ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 44,738 I by wife ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 10,118 I by son ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 2,001 I by daughter ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ (1) Purchased through the company's 401k. Information is based on plan statement as of 1-31-2001. (2) Purchased through the company's ASOP. 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 Comon (Right to Buy) $5.34 1/31/2001 H4 90,855 (3) 10/21/01 Stock 90,855 ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Comon (Right to Buy) $11.31 1/31/2001 H4 25,295 (4) 1/20/04 Stock 25,295 ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Comon (Right to Buy) $12.26 1/31/2001 H4 50,590 (5) 9/15/05 Stock 50,590 ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Comon (Right to Buy) $14.03 1/31/2001 H4 25,295 (6) 5/18/06 Stock 25,295 ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Comon (Right to Buy) $15.00 1/31/2001 H4 25,118 (7) 8/28/02 Stock 25,118 ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Comon (Right to Buy) $13.64 1/31/2001 H4 40,649 (8) 8/28/07 Stock 40,649 ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Comon (Right to Buy) $11.88 1/31/2001 H4 17,500 (9) 12/14/08 Stock 17,500 ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Comon (Right to Buy) $9.00 1/31/2001 H4 17,500 (10) 3/30/09 Stock 17,500 ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Comon (Right to Buy) $12.00 1/31/2001 H4 15,000 (11) 7/16/09 Stock 15,000 ------------------------------------------------------------------------------------------------------------------------------------ 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: (3) Vested 12,981 option shares on 10/21/94, 10/21/95 & 10/21/96; vested 12,987 option shares on 10/21/97; vested 12,975 option shares on 10/21/98, 10/21/99 & 10/21/2000. (4) Vested 20% on each anniversary of 1/20/94. (5) Vested 20% on each anniversary of 9/15/95. (6) Vested 20% on each anniversary of 5/18/96. (7) Vested 3516 on 12/1/97, 8/1/98, 8/1/99; vested 7285 on 8/1/2000 & 7/1/2001. (8) Vested 20% on each anniversary of 8/28/97. (9) Vested 20% on each anniversary of 12/14/98. (10) Vested 20% on each anniversary of 3/30/99. (11) Vested 20% on each anniversary of 7/16/99. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ JOHN H. MARMADUKE 3/15/01 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.