-----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, OOootzs40vLjBAFFna7BeOyACF1lRl8hFCJ/0dC1tM9CahqtNiG9VUGX0stbaegC 6Kz5yMGMPFfagr4ci2H/1Q== 0000950123-02-000755.txt : 20020414 0000950123-02-000755.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950123-02-000755 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020128 FILED AS OF DATE: 20020129 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08056 FILM NUMBER: 02520608 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 COMPANY DATA: COMPANY CONFORMED NAME: LAMBERT EDWARD W CENTRAL INDEX KEY: 0001165807 OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 115 RIVER ROAD STREET 2: BUILDING 10 CITY: EDGEWATER STATE: NJ ZIP: 07020 BUSINESS PHONE: 2018637300 MAIL ADDRESS: STREET 1: 115 RIVER ROAD STREET 2: BUILDING 10 CITY: EDGEWATER STATE: NJ ZIP: 07020 3 1 y57020e3.txt FORM 3: HANOVER DIRECT, INC./LAMBERT FORM 3 U.S. 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* Lambert Edward W. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 115 River Road, Building 10 - -------------------------------------------------------------------------------- (Street) Edgewater NJ 07020 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Date of Event Requiring Statement (Month/Day/Year) January 28, 2002 ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Issuer Name and Ticker or Trading Symbol Hanover Direct, Inc. (HNV) ________________________________________________________________________________ 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) Executive Vice President and Chief Financial Officer ________________________________________________________________________________ 6. If Amendment, Date of Original (Month/Day/Year) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form Filed by One Reporting Person [ ] Form Filed by More than One Reporting Person ================================================================================ Table I -- Non-Derivative Securities Beneficially Owned ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== * If the form is filed by more than one reporting person, see Instruction 5(b)(v).
(Over) FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Option (Right to Buy) (1) (2) Common Stock 300,000 $0.30 (D) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== Explanation of Responses: (1) The option will become exercisable on the earlier of: (i) March 31, 2003; or (ii) the occurrence of those certain events described in Paragraph 5 of Services Agreement (the "Agreement") made as of December 14, 2001 by and among (a) Meridian Ventures, LLC and Thomas C. Shull, jointly and severally; and (b) Hanover Direct, Inc. (the "Company"), as filed with the Securities and Exchamge Commission on the Company's Current Report on Form 8-K on December 14, 2001. (2) The option will terminate on the earlier of: (i) March 31, 2006; or (ii) the occurrence of those certain events described in Paragraph 6(a)(i) or 6(a)(iv) of the Agreement.
/s/ Edward W. Lambert January 28, 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. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----