-----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, Vihwao8rVsEs//tYFpSJNi/k1SmIEXuuNXKW/Kxg8bM4Aarg4lwZqUlb4gCeQlIB 96+CApfCuMVtg9JOFmr6PQ== 0000950134-99-009080.txt : 19991021 0000950134-99-009080.hdr.sgml : 19991021 ACCESSION NUMBER: 0000950134-99-009080 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991015 FILED AS OF DATE: 19991020 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: 99731280 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: MILLIKIN C W CENTRAL INDEX KEY: 0001097269 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 3601 PLAINS BLVD STREET 2: SUITE 1 CITY: AMARILLO STATE: TX ZIP: 79120 BUSINESS PHONE: 8063512300 MAIL ADDRESS: STREET 1: 3601 PLAINS BLVD STREET 2: SUITE 1 CITY: AMARILLO STATE: TX ZIP: 79120 3 1 FORM 3 - WILLIAM C. MILLIKIN 1 -------------------------- OMB APPROVAL -------------------------- - -------- OMB Number: 3235-0104 FORM 3 Expires: December 31, 2001 - -------- Estimated average burden hours per response.... 0.5 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 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 Millikin C. William (Month/Day/Year) Hastings Entertainment, Inc. (HAST) (Month/Day/Year) - ---------------------------------------- ------------------------------------ (Last) (First) (Middle) 10/15/99 5. Relationship of Reporting ----------------------- 3601 Plains Blvd. Suite 1 ---------------------------- Person(s) to Issuer 7. Individual or Joint/ - ---------------------------------------- 3. I.R.S. Identification (Check all applicable) Group Filing (Check (Street) Number of Reporting Director 10% Owner Applicable Line) Person, if an entity ----- ----- X Form filed by Amarillo Tx 79120 (voluntary) X Officer Other (specify --- One Reporting - -------------------------------------- ----- ----- below) Person (City) (State) (Zip) ---------------------------- (give title below) Form filed by Controller --- More than One ------------------------------ Reporting Person - ----------------------------------------------------------------------------------------------------------------------------------- TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect (Instr. 4) Beneficially Owned Direct (D) or Beneficial (Instr. 4) Indirect (I) Ownership (Instr. 5) (Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) *If the form is filed by more than one reporting person, see Instruction 5(b)(v). SEC 1473 (3-99) POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTIONS 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 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date 3. Title and Amount of 4. Conver- 5. Owner- 6. Nature of Indirect (Instr. 4) Exercisable and Securities Underlying sion or ship Beneficial Ownership Expiration Date Derivative Security Exercise Form of (Instr. 5) (Month/Day/ (Instr. 4) Price of Deriv- Year) Deri- ative vative Security: Security Direct ------------------------------------------------- (D) or Date Expira- Amount or Indirect (I) Exercis- tion Title Number (Instr. 5) able Date of Shares - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION (1) 8/20/07 COMMON STOCK 3,794 $10.00 D - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION (2) 5/17/06 COMMON STOCK 2,024 $10.00 D - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION (3) 8/26/05 COMMON STOCK 2,530 $10.00 D - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION (4) 9/24/04 COMMON STOCK 2,530 $10.00 D - ------------------------------------------------------------------------------------------------------------------------------------ STOCK OPTION (5) 9/17/09 COMMON STOCK 5,000 $ 9.69 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ (1) EXERCISABLE 1/5 ON EACH 8/20/98, 8/20/99, 8/20/00, 8/20/01, & 8/20/02 (2) EXERCISABLE 1/5 ON EACH 5/17/97, 5/17/98, 5/17/99, 5/17/00, & 5/17/01 (3) EXERCISABLE 1/5 ON EACH 8/26/96, 8/26/97, 8/26/98, 8/26/99, & 8/26/00 (4) EXERCISABLE 1/5 ON EACH 9/24/95, 9/24/96, 9/24/97, 9/24/98, & 9/24/99 (5) EXERCISABLE 1/5 ON EACH 9/17/00, 9/17/01, 9/17/02, 9/17/03, & 9/17/04 Explanation of Responses: /s/ JEFFREY G. SHRADER* 10/20/99 **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. Page 2 If space is insufficient, See Instruction 6 for procedure. SEC 1473 (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-----