-----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, Id9PmuKN1d8sU1xox48a8w3OfYKbSQGaLukC7H/dZssnwyVMzxOvR2zmWdXbZP4F rh4fh2KKMKwsbQpC7ZUUqA== 0000950123-02-000217.txt : 20020413 0000950123-02-000217.hdr.sgml : 20020413 ACCESSION NUMBER: 0000950123-02-000217 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020110 COMPANY DATA: COMPANY CONFORMED NAME: RICHEMONT FINANCE SA CENTRAL INDEX KEY: 0001041054 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OWNER STATE OF INCORPORATION: I8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 35 BLVD PRINCE HENRI CITY: LUXEMBOURG STATE: I8 ZIP: 00000 MAIL ADDRESS: STREET 1: RICHEMONT FINANCE SA STREET 2: 35 BLVD PRINCE HENRI CITY: LUXEMBOURG STATE: I8 ZIP: 00000 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HANOVER DIRECT INC CENTRAL INDEX KEY: 0000320333 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-CATALOG & MAIL-ORDER HOUSES [5961] IRS NUMBER: 138053260 STATE OF INCORPORATION: DE FISCAL YEAR END: 1227 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08056 FILM NUMBER: 2505958 BUSINESS ADDRESS: STREET 1: 1500 HARBOR BLVD CITY: WEEHAWKEN STATE: NJ ZIP: 07087 BUSINESS PHONE: 2018653800 MAIL ADDRESS: STREET 1: 1500 HARBOR BLVD CITY: WEEHAWKEN STATE: NJ ZIP: 07087 FORMER COMPANY: FORMER CONFORMED NAME: HORN & HARDART CO /NV/ DATE OF NAME CHANGE: 19920703 4 1 y56463e4.txt FORM 4 FORM 4 OMB APPROVAL ---------------------------- OMB NUMBER: 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response ......0.5 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 [ ] Check box if no longer subject to Section 16, Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* Richemont Finance S.A. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 35 Boulevard Prince Henri - -------------------------------------------------------------------------------- (Street) L 1724 Luxembourg - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name AND Ticker or Trading Symbol Hanover Direct, Inc. (HNV) ________________________________________________________________________________ 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year December 2001 ________________________________________________________________________________ 5. If Amendment, Date of Original (Mo/Yr) ________________________________________________________________________________ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [X] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Reporting (Check Applicable Line) [ ] Form Filed by One Reporting Person [X] Form Filed by More than One Reporting Person (Schedule A attached) ________________________________________________________________________________ ================================================================================ Table I. -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at end (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (Month/Day/Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/19/01 J(a) 74,098,769 D (a) 28,691,888 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock N/A N/A N/A N/A N/A 1,510,000 I (b) - ------------------------------------------------------------------------------------------------------------------------------------ Series A Preferred Stock 12/19/01 J(a) 1,400,000 D (a) 0 - ------------------------------------------------------------------------------------------------------------------------------------ Series B Participating Preferred Stock 12/19/01 J(a) 1,622,111 A (a) 1,622,111 D ====================================================================================================================================
(a) Pursuant to an Agreement between the Issuer and the Reporting Person, dated December 19, 2001, the Issuer purchased 74,098,769 shares of Common Stock and 1,400,000 shares of Series A Preferred Stock from the Reporting Person in return for the issuance to the Reporting Person of 1,622,111 shares of Series B Participating Preferred Stock and the reimbursement of expenses of $1 million to the Reporting Person, as more fully described in the Issuer's Current Report on 8-K dated December 20, 2001. (b) These securities are owned of record and beneficially by NAR Group Limited ("NAR"). The Reporting Person is a shareholder of NAR and may, therefore, be deemed to be an indirect owner of these securities. However, the Reporting Person disclaims such beneficial ownership. - -------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one reporting person, see Instruction 4(b)(v). 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 OMD CONTROL NUMBER. (Over) SEC 1474 (7-97) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Year (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Response /s/ Robert P. Wessely January 10, 2002 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. 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 number. Page 2 SEC 1474 (7-97) SCHEDULE A Form 4 Joint Filer Information 1. Name: Richemont S.A. Address: 35 Boulevard Prince Henri L 1724 Luxembourg Designated Filer: Richemont Finance S.A. Issuer & Ticker Symbol: Hanover Direct, Inc. (HNV) Date of Event Requiring Statement: December 19, 2001 Ownership Form: Indirect (affiliate) Signature: /s/ Robert P. Wessely ----------------------------------- By: Robert P. Wessely Its: Attorney-in-Fact 2. Name: Richemont Holdings S.A. Address: 35 Boulevard Prince Henri L 1724 Luxembourg Designated Filer: Richemont Finance S.A. Issuer & Ticker Symbol: Hanover Direct, Inc. (HNV) Date of Event Requiring Statement: December 19, 2001 Ownership Form: Indirect (affiliate) Signature: /s/ Robert P. Wessely ----------------------------------- By: Robert P. Wessely Its: Attorney-in-Fact Page 2 SEC 1474 (7-97) 3. Name: Compagnie Financiere Richemont AG Address: Registrasse 2 6300 Zug Switzerland Designated Filer: Richemont Finance S.A. Issuer & Ticker Symbol: Hanover Direct, Inc. (HNV) Date of Event Requiring Statement: December 19, 2001 Ownership Form: Indirect (affiliate) Signature: /s/ Robert P. Wessely ----------------------------------- By: Robert P. Wessely Its: Attorney-in-Fact 4. Name: Compagnie Financiere Rupert Address: Registrasse 2 6300 Zug Switzerland Designated Filer: Richemont Finance S.A. Issuer & Ticker Symbol: Hanover Direct, Inc. (HNV) Date of Event Requiring Statement: December 19, 2001 Ownership Form: Indirect (affiliate) Signature: /s/ Robert P. Wessely ----------------------------------- By: Robert P. Wessely Its: Attorney-in-Fact Page 2 SEC 1474 (7-97) -----END PRIVACY-ENHANCED MESSAGE-----