-----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, JN1AddooXsPot5kTVPtTU2G6wJbW3BPwpErEvJhGyP/1eXTEiinPDmFxoUhm1Oyz b68ggaVQeBBzjseKoKShIg== 0000950134-98-005136.txt : 19980611 0000950134-98-005136.hdr.sgml : 19980611 ACCESSION NUMBER: 0000950134-98-005136 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980610 FILED AS OF DATE: 19980610 SROS: NONE 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: 3 SEC ACT: SEC FILE NUMBER: 000-24381 FILM NUMBER: 98645503 BUSINESS ADDRESS: STREET 1: P O BOX 35350 CITY: AMARILLO STATE: TX ZIP: 79120-5350 BUSINESS PHONE: 8063512300 MAIL ADDRESS: STREET 1: P O BOX 35350 CITY: AMARILLO STATE: TX ZIP: 79120-5350 COMPANY DATA: COMPANY CONFORMED NAME: HILL PHILLIP G CENTRAL INDEX KEY: 0001062342 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 3601 PLAINS BLVD STREET 2: STE 1 CITY: AMARILLO STATE: TX ZIP: 79102 BUSINESS PHONE: 8063512300 MAIL ADDRESS: STREET 1: 3601 PLAINS BLVD STREET 2: STE 1 CITY: AMARILLO STATE: TX ZIP: 79102 3 1 FORM 3 - PHILLIP HILL 1 --------------------------- OMB APPROVAL --------------------------- - -------- OMB Number: 3235-0104 FORM 3 Expires: September 30, 1998 - -------- Estimated average burden hours per response .... 0.5 --------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person 2. Date of Event Requiring 4. Issuer Name and Ticker or 6. If Amendment, Date Statement Trading Symbol of Original (Month/Day/Year) (Month/Day/Year) Hill Phillip G. - ---------------------------------------- 6/10/98 Hastings Entertainment, Inc. (HAST) (Last) (First) (Middle) -------------------------- -------------------------------------- --------------------- 3. IRS or Social Security 5. Relationship of Reporting 7. Individual or 3601 Plains Blvd, Suite #1 Number of Reporting Person to Issuer Joint/Group Filing - ---------------------------------------- Person (Voluntary) (Check all applicable) (check Applicable (Street) Line 1) X Director 10% Owner Amarillo Texas 79102 ----- ----- [X] Form filed by - ---------------------------------------- -------------------------- X Officer Other One Reporting (City) (State) (Zip) ----- (Give title ----- (specify Person below) below) [ ] Form filed by Senior Vice President and Chief More than One Operating Officer Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ TABLE 1 -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect Beneficial Ownership (Instr. 4) Beneficially Owned Direct (D) or (Instr. 5) (Instr. 4) Indirect (I) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 66,698 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) SEC 1473 (8-92)
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FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ==================================================================================================================================== 1. Title of Derivative 2. Date Exer- 3. Title and Amount of 4. Conversion 5. Ownership Form 6. Nature of Indirect Security (Instr. 4) cisable and Securities Underlying or Exercise of Derivative Beneficial Ownership Expiration Derivative Security Price of Security: (Instr. 5) Date (Month/ (Instr. 4) Derivative Direct (D) or Day/Year) Security: Indirect (I) (Instr. 5) --------------------------------------------- Date Expira- Amount or Exercis- tion Title Number able Date of Shares - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right to Buy) (1) 10/21/01 Common Stock 8,980 27 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right to Buy) (2) 1/20/04 Common Stock 5,000 52 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right to Buy) 2/1/00 1/31/10 Common Stock 10,000 71 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right to Buy) (3) 8/26/05 Common Stock 6,000 62 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right to Buy) (4) 5/18/06 Common Stock 2,500 71 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right to Buy) (5) 5/21/07 Common Stock 5,000 69 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right to Buy) (6) 8/28/07 Common Stock 7,000 69 D - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) Options Exercisable 1/5 on 10/21/94, 10/21/95, 10/21/96, 10/21/97 and 10/21/98. (2) Options Exercisable 1/5 on 1/20/97, 1/20/98, 1/20/99, 1/20/00 and 1/20/01. (3) Options Exercisable 1/5 on 8/26/98, 8/26/99, 8/26/00, 8/26/01 and 8/26/02. (4) Options Exercisable 1/5 on 5/18/97, 5/18/98, 5/18/99, 5/18/00, and 5/18/01. (5) Options Exercisable 1/5 on 5/21/98, 5/21/99, 5/21/00, 5/21/01, and 5/21/02. (6) Options Exercisable 1/5 on 8/28/98, 8/28/99, 8/28/00, 8/28/01 and 8/28/02. /s/ Dennis McGill 6/8/98 ** Intentional misstatements or omissions of facts constitute Federal Criminal -------------------------------- ------------ Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date Attorney-in-fact Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. Page 2 SEC 1473 (8-92)
3 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey G. Shrader and Dennis McGill, signing singly, the undersigned's true and lawful attorney-in-fact to: (1) Execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Hastings Entertainment, Inc. (the "Company"), Forms 3, 4 and 5 (and any successor or superseding forms) in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; (2) Do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and to execute any such Form 3, 4 or 5 (and any successor or superseding forms) and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) Take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934 and the rules thereunder. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 or successor or superseding forms with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. 4 IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 15 day of May, 1998. /s/ PHILLIP G. HILL --------------------------------- Signature Phillip G. Hill --------------------------------- Printed Name -2- -----END PRIVACY-ENHANCED MESSAGE-----