4 1 form_4.txt STATEMENT OF CHANGE IN BENEFICIAL OWNERSHIP OMB APPROVAL --------------------------- OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response..... 0.5 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 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 this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* Harcourt General, Inc. -------------------------------------------------------------------------------- (Last) (First) (Middle) 275 Washington Street -------------------------------------------------------------------------------- (Street) Newton, Massachusetts 02458 -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol The Neiman Marcus Group, Inc. (NMG.A and NMG.B) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) N/A ________________________________________________________________________________ 4. Statement for Month/Year February 2002 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) N/A ________________________________________________________________________________ 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 Filing (Check applicable line) [_] Form filed by one Reporting Person [x] Form filed by more than one Reporting Person ________________________________________________________________________________ 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). Page 1 of 10 (over) ================================================================================ 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) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/04/02 S 24,800 D $34.52 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/05/02 S 49,900 D $33.75 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/06/02 S 31,500 D $33.43 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/07/02 S 32,500 D $33.40 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/08/02 S 35,500 D $33.14 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/11/02 S 21,000 D $33.66 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/12/02 S 14,900 D $33.81 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/13/02 S 16,500 D $34.15 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/14/02 S 21,500 D $34.43 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/15/02 S 21,800 D $34.32 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/19/02 S 18,400 D $33.92 ----------------------------------------------------------------------------------------------------------------------------------- Page 2 of 10 Class A Common Stock, par value $0.01 per share 02/20/02 S 15,700 D $33.87 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/21/02 S 12,000 D $34.13 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/22/02 S 23,200 D $33.41 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/25/02 S 36,800 D $33.76 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/26/02 S 47,500 D $33.59 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/27/02 S 22,200 D $34.47 ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $0.01 per share 02/28/02 S 21,800 D $34.65 4,521,042 D & I(1) (1) -----------------------------------------------------------------------------------------------------------------------------------
Page 3 of 10 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- ities In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Bene- direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned ficially Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End Owned at ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of End of Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month Month 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 Responses: (1) This Form 4 is being filed jointly by the following persons (collectively, the "Reporting Persons") in connection with the beneficial ownership of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), of The Neiman Marcus Group, Inc., a Delaware corporation (the "Issuer"): (i) Reed International P.L.C., an English public limited company ("Reed"), (ii) Elsevier NV, a Dutch public limited company ("Elsevier"), (iii) Reed Elsevier plc, an English public limited company ("Reed Elsevier"), (iv) Reed Elsevier Holdings BV, a Dutch private limited company ("Reed Elsevier Holdings"), (v) Reed Elsevier Overseas BV, a Dutch private limited company ("Reed Elsevier Overseas"), (vi) Reed Elsevier U.S. Holdings Inc., a Delaware corporation ("Reed Elsevier U.S."), (vii) Reed Elsevier Inc., a Massachusetts corporation ("Reed Elsevier Inc."), (viii) Harcourt General, Inc., a Delaware corporation, ("Harcourt"), (ix) Harcourt Professional Education Group, Inc., a Delaware corporation ("HPEG"), (x) HGI Securities Corp., a Massachusetts business corporation ("HGISC"), and (xi) HGI Investment Trust, a Massachusetts business trust ("HGIT"). Page 4 of 10 The shares of Class A Common Stock to which this Form 4 relates are owned of record by HGIT. By reason of HGIT's status as a direct, wholly owned subsidiary of HGISC, HGISC may be deemed to beneficially own all of the Class A Common Stock beneficially owned by HGIT. By reason of HGISC's status as a direct, wholly owned subsidiary of HPEG, HPEG may be deemed to beneficially own all of the Class A Common Stock beneficially owned by HGISC. By reason of HPEG's status as a direct, wholly owned subsidiary of Harcourt, Harcourt may be deemed to beneficially own all of the Class A Common Stock beneficially owned by HGISC. By reason of Harcourt's status as a direct, wholly owned subsidiary of Reed Elsevier Inc., Reed Elsevier Inc. may be deemed to beneficially own all of the Class A Common Stock beneficially owned by Harcourt. By reason of Reed Elsevier Inc.'s status as a direct, wholly owned subsidiary of Reed Elsevier U.S., Reed Elsevier U.S. may be deemed to beneficially own all of the Class A Common Stock beneficially owned by Reed Elsevier Inc. By reason of Reed Elsevier U.S.'s status as a direct, wholly-owned subsidiary of Reed Elsevier Overseas, Reed Elsevier Overseas may be deemed to beneficially own all of the Class A Common Stock beneficially owned by Reed Elsevier U.S. By reason of Reed Elsevier Oversea's status as a direct, 95%-owned subsidiary of Reed Elsevier Holdings, Reed Elsevier Holdings may be deemed to beneficially own all of the Class A Common Stock beneficially owned by Reed Elsevier Overseas. By reason of Reed Elsevier Holding's status as a direct, wholly owned subsidiary of Reed Elsevier, Reed Elsevier may be deemed to beneficially own all of the Class A Common Stock beneficially owned by Reed Elsevier Holdings. By reason of their status as equal, 50% owners of the voting stock of Reed Elsevier and thus their ability to control Reed Elsevier, Reed and Elsevier may be deemed to have shared power to direct the vote and to direct the disposition of the shares of Class A Common Stock that may be deemed to be beneficially owned by Reed Elsevier and, accordingly, may be deemed to beneficially own all of the Class A Common Stock beneficially owned by Reed Elsevier for purposes both of status as a 10% beneficial owner subject to Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), and of an indirect pecuniary interest in such shares. Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Any disclosures made hereunder with respect to persons other than the Reporting Persons are made on information and belief after making appropriate inquiry. Pursuant to Rule 16a-1(a)(4) promulgated under the Act, each of the Reporting Persons, other than HGIT, herein states that this filing shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). By: /s/ Charles P. Fontaine March 15, 2002 --------------------------- -------------- Name: Charles P. Fontaine Date Title: Attorney-in-fact ** Signature of Reporting Person Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. 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. Page 5 of 10 ATTACHMENT A Joint Filer Information Names and Addresses: (i) Reed International P.L.C., an English public limited company, having its principal executive offices at 25 Victoria Street, London SW1H 0EX, England, (ii) Elsevier NV, a Dutch public limited company, having its principal executive offices at Sara Burgerhartstraat 25, 1055 KV Amsterdam, The Netherlands, (iii) Reed Elsevier plc, an English public limited company, having its principal executive offices at 25 Victoria Street, London SW1H 0EX, England, (iv) Reed Elsevier Holdings BV, a Dutch private limited company, having its principal executive offices at Sara Burgerhartstraat 25, 1055 KV Amsterdam, The Netherlands, (v) Reed Elsevier Overseas BV, a Dutch private limited company, having its principal executive offices at Sara Burgerhartstraat 25, 1055 KV Amsterdam, The Netherlands, (vi) Reed Elsevier U.S. Holdings Inc., a Delaware corporation, having its principal executive offices at 1105 North Market Street, Suite 900, Wilmington, Delaware 19801, (vii) Reed Elsevier Inc., a Massachusetts corporation, having its principal executive offices at 275 Washington Street, Newton, Massachusetts 02458, (viii) Harcourt General, Inc., a Delaware corporation, having its principal executive offices at 275 Washington Street, Newton, Massachusetts 02458, (ix) Harcourt Professional Education Group, Inc., a Delaware corporation, having its principal executive offices at 275 Washington Street, Newton, Massachusetts 02458, (x) HGI Securities Corp., a Massachusetts business corporation, having its principal executive offices at 275 Washington Street, Newton, Massachusetts 02458, and (xi) HGI Investment Trust, a Massachusetts business trust, having its principal executive offices at 275 Washington Street, Newton, Massachusetts 02458. Designated Filer: Harcourt General, Inc. Issuer & Ticker Symbol: The Neiman Marcus Group, Inc. (NMG.A and NMG.B) Date of Event: February 2002 Signatures: REED INTERNATIONAL P.L.C. ELSEVIER NV REED ELSEVIER plc REED ELSEVIER HOLDINGS BV REED ELSEVIER OVERSEAS BV REED ELSEVIER U.S. HOLDINGS INC. REED ELSEVIER INC. HARCOURT GENERAL, INC. HARCOURT PROFESSIONAL EDUCATION GROUP, INC. Page 6 of 10 HGI SECURITIES CORP. HGI INVESTMENT TRUST By: /s/ Charles P. Fontaine ----------------------------- Name: Charles P. Fontaine Title: Attorney-in-fact Page 7 of 10 ATTACHMENT B POWER OF ATTORNEY Know all by these presents, that each signatory below hereby con- stitutes and appoints each of Henry Horbaczewski, Charles P. Fontaine and Julie A. Goldweitz as the true and lawful agent and attorney-in-fact of such signatory, with full power of substitution and resubstitution, to prepare, execute and file, on such signatory's behalf and also in such capacity as may be indicated below, any Form 3, Form 4 or Form 5, any amendment thereto and any other document which any such attorney-in-fact may consider advisable in connection with the reporting, under the Securities Exchange Act of 1934, as amended, of the beneficial holding of Class A Common Stock, par value $0.01 per share, of The Neiman Marcus Group, Inc., a Delaware corporation (the "Issuer"), or any Class B Common Stock, par value $0.01 per share, of the Issuer, by such signatory and such entities for which such signatory is an authorized person, and such signatory hereby ratifies any such action taken or to be taken by such attorney-in-fact. The duration of this Authorization and Power of Attorney shall be from the date indicated below until the earlier to occur of either (i) when none of the signatories below have any beneficial holding of any Class A Common Stock or Class B Common Stock of the Issuer or (ii) with reference to each signatory below, when any such signatory revokes this Authorization and Power of Attorney in a signed writing delivered to the foregoing attorneys-in-fact. Date: March 15, 2002 REED INTERNATIONAL P.L.C. By: /s/ Leslie Dixon ----------------------------- Name: Leslie Dixon Title: Deputy Secretary ELSEVIER NV By: /s/ Mark H. Armour ----------------------------- Name: Mark H. Armour Title: Chief Financial Officer REED ELSEVIER plc By: /s/ Leslie Dixon ----------------------------- Name: Leslie Dixon Title: Deputy Secretary Page 8 of 10 REED ELSEVIER HOLDINGS BV By: /s/ Mark H. Armour ----------------------------- Name: Mark H. Armour Title: Authorized Signatory REED ELSEVIER OVERSEAS BV By: /s/ Mark H. Armour ----------------------------- Name: Mark H. Armour Title: Authorized Signatory REED ELSEVIER U.S. HOLDINGS INC. By: /s/ Charles P. Fontaine ----------------------------- Name: Charles P. Fontaine Title: Assistant Secretary REED ELSEVIER INC. By: /s/ Charles P. Fontaine ----------------------------- Name: Charles P. Fontaine Title: Assistant Clerk HARCOURT GENERAL, INC. By: /s/ Charles P. Fontaine ----------------------------- Name: Charles P. Fontaine Title: Assistant Secretary HARCOURT PROFESSIONAL EDUCATION GROUP, INC. By: /s/ Charles P. Fontaine ----------------------------- Name: Charles P. Fontaine Title: Assistant Secretary Page 9 of 10 HGI SECURITIES CORP. By: /s/ Charles P. Fontaine ----------------------------- Name: Charles P. Fontaine Title: Assistant Clerk HGI INVESTMENT TRUST By: /s/ Charles P. Fontaine ----------------------------- Name: Charles P. Fontaine Title: Assistant Clerk Page 10 of 10