-----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, BdHN3E2PZ6Iwcjo4tZmYdlg/uKYQFm2/p8QpS7hN1Op3vJd3eZQz1HeHflNOb5V+ JAqYK5A1RLKNr3o1/2oIAQ== 0000950142-98-000228.txt : 19980311 0000950142-98-000228.hdr.sgml : 19980311 ACCESSION NUMBER: 0000950142-98-000228 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980101 FILED AS OF DATE: 19980310 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LOEHMANNS INC CENTRAL INDEX KEY: 0000060064 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-WOMEN'S CLOTHING STORES [5621] IRS NUMBER: 222341356 STATE OF INCORPORATION: DE FISCAL YEAR END: 0201 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-28410 FILM NUMBER: 98561631 BUSINESS ADDRESS: STREET 1: 2500 HALSEY STREET CITY: BRONX STATE: NY ZIP: 10461 BUSINESS PHONE: 0000000000 MAIL ADDRESS: STREET 1: 2500 HALSEY STREET STREET 2: 2500 HALSEY STREET CITY: BRONX STATE: NY ZIP: 10401 COMPANY DATA: COMPANY CONFORMED NAME: MATTHEWS NORMAN CENTRAL INDEX KEY: 0001016462 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-WOMEN'S CLOTHING STORES [5621] DIRECTOR STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 650 MADISON AVE STREET 2: 23RD FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123085605 MAIL ADDRESS: STREET 1: 11 LINCOLN LANE CITY: PURCHASE STATE: NY ZIP: 10577 5 1 FORM 5
U.S. 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 - ------------------------------------------------------------------- FORM 5 OMB APPROVAL - ------------------------------------------------------------------- [ ] CHECK THIS BOX IF NO LONGER OMB Number: 3235-0362 SUBJECT TO SECTION 16. FORM 4 Expires: September 30, 1998 OR FORM 5 OBLIGATIONS MAY Estimated average burden CONTINUE. SEE INSTRUCTION 1(B). hours per response .... 1.0 [ ] FORM 3 HOLDINGS REPORTED [ ] FORM 4 TRANSACTIONS REPORTED - --------------------------------
1. Name and Address of Reporting Person * Matthews Norman S. (Last) (First) (Middle) 11 Lincoln Lane (Street) Purchase New York 10577 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Loehmann's, Inc. (LOEH) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement of Month/Year January 1998 5. If Amendment, Date or Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) X Director 10% Owner ----- ----- Officer (give title Other ----- below) ----- (specify below) ---------------------------------------- 7. Individual or Join/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 ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. Title of Security 2. Transaction 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) Date action or Disposed of (D) Securities ship of In- Code (Instr. 3, 4 and 5) Beneficially Form: direct (Month/ (Instr. 8) Owned at Direct Bene- Day/ ------------- ------------------------- End of (D) ficial Year) (A) Month Indirect Owner- Code Amount or Price (Instr. 3 (I) ship (D) and 4) (Instr. 4) (Instr. 4) - ----------------------------- -------------- ------------- ---------- --- ------- ----------------- ------------ ----------- Common Stock, par value $0.01 per share 17,839 D -- - ----------------------------- -------------- ------------- ---------- --- ------- ----------------- ------------ ----------- (Over) * If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). SEC 1474 9-96)
FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) 1. Title of Derivative 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- 6. Date Exer- Security (Instr. 3) sion or action tion Code ative Securities Ac- cisable and Ex- Exercise Date (Instr. 8) quired (A) or Dis- piration Date Price of posed of (D) Deriv- (Month/ (Instr. 3, 4 and 5) (Month/Day/ ative Day/ Year) Secur Year) ------------- ------------------------- ---------------------- Code (A) (D) Date Expira- Exer- tion cisable Date - -------------------------------------- ------------- ----------- ------------- ----------- ----------- ----------- --------- Stock Options (1) -- -- -- -- (1) (1) Class B Common Stock, par value $0.01 per share (2) -- -- -- 11/6/96 N/A Stock Options 7.0625 6/19/97 A 65,000 (3) (3) - -------------------------------------- ------------- ----------- ------------- ----------- ----------- ----------- --------- 7. Title and Amount of 8. Price 9. Number 10. Owner- 11. Na- Underlying Securities Deriv of Deriv- ship ture ative ative Form of In- (Instr. 3 and 4) Secur- Secur- of De- direct ity ities rivative Bene- (Instr. Bene Secu- ficial 5) ficially rity: Own- Owned Direct ership - -------------------------------------- at End (D) or (Instr. 4) Amount or of Indi- Title Number of Month rect (I) Shares (Instr. 4) (Instr. 4) - --------------------- --------------- ------------- ------------- ------------- -------------- Common Stock, par value $0.01 per share 89,378 (1) 89,378 D Common Stock, par value $0.01 per share 22,345 (2) 22,345 D Common Stock, par value $0.01 per share 65,000 (3) 65,000 D - --------------------- --------------- ------------- ------------- ------------- --------------
Explanation of Responses: (1) All options were granted pursuant to the 1988 Stock Option Plan and are immediately exercisable. All options expire five years after the dates of vesting. 44,688 options are exercisable at $5.01 a share, 22,345 options are exercisable at $4.48 a share, and 22,345 options are exercisable at $8.95 a share. (2) One share of Class B Common Stock is convertible into one share of Common Stock. (3) All options were granted pursuant to the Directors Stock Option Plan. The options shall vest in full on the earlier of (i) June 19, 2001 or (ii) a Change of Control of the Company, and expire at the earlier of (i) 10 years from the grant date and (ii) one year from the date the Optionee's service terminates (capitalized terms in this sentence are as defined in the Directors Stock Option Plan). **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. /s/ Norman S. Matthews February 23, 1998 - ----------------------------------------------- --------------------- **Signature of Reporting Person Date Norman S. Matthews 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 2 SEC 2270 (9-96) -----END PRIVACY-ENHANCED MESSAGE-----