-----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, F7A8zhtkSNpnCnb/xXmUMNKZp1p/2Kepx6bUMcdzMvfFWtf6ibnstYnS9wzrm9mC UyjkXyMsJW/EnfC9uc5zFw== 0000893750-02-000251.txt : 20020415 0000893750-02-000251.hdr.sgml : 20020415 ACCESSION NUMBER: 0000893750-02-000251 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020331 FILED AS OF DATE: 20020408 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEIMAN MARCUS GROUP INC CENTRAL INDEX KEY: 0000819539 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-DEPARTMENT STORES [5311] IRS NUMBER: 954119509 STATE OF INCORPORATION: DE FISCAL YEAR END: 0801 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09659 FILM NUMBER: 02604823 BUSINESS ADDRESS: STREET 1: ONE MARCUS SQUARE STREET 2: 1618 MAIN STREET CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-741-6911 MAIL ADDRESS: STREET 1: ONE MARCUS SQUARE STREET 2: 1618 MAIN STREET CITY: DALLAS STATE: TX ZIP: 75201 COMPANY DATA: COMPANY CONFORMED NAME: HARCOURT GENERAL INC CENTRAL INDEX KEY: 0000040493 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-DEPARTMENT STORES [5311] OWNER IRS NUMBER: 041619609 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 275 WASHINGTON STREET STREET 2: BOX 1000 CITY: NEWTON STATE: MA ZIP: 02458 BUSINESS PHONE: 6172328200 MAIL ADDRESS: STREET 1: 275 WASHINGTON STREET STREET 2: BOX 1000 CITY: NEWTON STATE: MA ZIP: 02458 FORMER COMPANY: FORMER CONFORMED NAME: GENERAL CINEMA CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: MID WEST DRIVE IN THEATRES INC DATE OF NAME CHANGE: 19660907 4 1 form4.txt FORM 4 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 [X] Check 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 March 2002 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) N/A ________________________________________________________________________________ 6. Relationship of Reporting Person 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 ________________________________________________________________________________ * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1 of 7 ================================================================================ 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 03/01/02 S 14,500 D $34.42 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/04/02 S 28,400 D $33.87 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/05/02 S 71,700 D $32.83 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/06/02 S 63,000 D $32.65 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/07/02 S 27,400 D $33.04 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/08/02 S 20,600 D $33.35 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/11/02 S 51,500 D $32.01 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/12/02 S 37,600 D $32.35 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/13/02 S 23,500 D $32.06 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/14/02 S 31,200 D $32.36 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/15/02 S 24,800 D $32.50 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Page 2 of 7
================================================================================ 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 03/18/02 S 30,400 D $33.14 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/19/02 S 20,100 D $33.85 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/20/02 S 14,000 D $33.80 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/21/02 S 108,138 D $33.49 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/22/02 S 37,698 D $32.89 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/25/02 S 17,600 D $32.59 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/26/02 S 97,842 D $33.03 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/27/02 S 1,064 D $33.29 $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, par value 03/27/02 S 3,800,000 D $32.37 0 D & I (1) (1) $0.01 per share ==================================================================================================================================== Page 3 of 7
================================================================================ 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- ies; In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Benefi- direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned ally Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End Owned ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of at End Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month of 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 7 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. 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. ** 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. By: /s/ Charles P. Fontaine --------------------------- Name: Charles P. Fontaine Title: Attorney-in-fact ** Signature of Reporting Person April 8, 2002 - ------------- Date Page 5 of 7 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: March 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 7 HGI SECURITIES CORP. HGI INVESTMENT TRUST By: /s/ Charles P. Fontaine ------------------------------- Name: Charles P. Fontaine Title: Attorney-in-fact Page 7 of 7 -----END PRIVACY-ENHANCED MESSAGE-----