-----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, RZdHMRiPnyXvYY/dwZx9H+015CGzt/Klz9vC5Fd2hgFQ5DbBeC5XwAUxcgGSYKU1 8nkpQA4jTjkfoGDIkiefPQ== 0000950142-96-000596.txt : 19961113 0000950142-96-000596.hdr.sgml : 19961113 ACCESSION NUMBER: 0000950142-96-000596 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961112 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: 0731 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28410 FILM NUMBER: 96658213 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: KAPLAN PHILIP CENTRAL INDEX KEY: 0001017214 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O LOEHMANNS INC STREET 2: 2500 HALSEY STREET CITY: BRONX STATE: NY ZIP: 10461 BUSINESS PHONE: 7185182774 MAIL ADDRESS: STREET 1: C/O LOEHMANNS INC STREET 2: 2500 HALSEY ST CITY: BRONX STATE: NY ZIP: 10461 4 1 FORM 4 OMB APPROVAL OMB NUMBER:3235-0287 EXPIRES:APRIL 30, 1997 ESTIMATED AVERAGE BURDEN HOURS PER RESPONSE 0.5 [ ]Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN 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 Kaplan Philip (Last) (First) (Middle) c/o Loehmann's, Inc., 2500 Halsey Street Bronx New York 10461 - ----------------------------------------------------------------------------- 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 October 1996 - ----------------------------------------------------------------------------- 5. If Amendment, Date or Original (Month/Year) - ----------------------------------------------------------------------------- 6. Relationship of Reporting Person to Issuer (Check all applicable) X Director 10% Owner ---------- ---------- X Officer (give title below) Other ---------- ---------- (specify below) President and Chief Operating Officer - ----------------------------------------------------------------------------- Table I - Non-Derivative Securties Acquired, Disposed of, or Beneficially Owned
2.Transaction 3.Transaction 4.Securities 5.Amount of 6.Ownership 7.Nature of 1. Title of security Date Code Acquired (A) Securities Form: Indirect (Inst.3) (Month/Day/Year) (Instr. 8) or Disposed Beneficially Direct (D) Beneficial of (D)(Instr. Owned at End or Ownership 3,4,and 5) of Month Indirect (Instr.4) (Instr.3 and 4) (I) (Instr.4) Code V Amount (A) Price or (D) Common Stock, par value $0.01 per share 10/21/96 S(1) - 78,991 D $28.75 0 D - 10/22/96 X - 12,846 A $1.065 0 D - 10/24/96 S(1) - 15,798 D $28.75 0 D -
- ----------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response) FORM 4 (CONTINUED)TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
1. Title of 2. Conversion or 3. Transaction 4.Transaction 5. Number of 6.Date Derivate Exercise Price Date Code Derivative Exercisable Security of Derivative (Month/ Securities and Expiration (Instr.3) Security Day/Year) Acquired (A) Date or Disposed (D) (Instr.3, (Month/Day/Year) 4 and 5) Code V (A) (D) Date Expiration Exercisable Date Stock Option $1.065 10/22/96 X - - 12,846 (2) (2)
7.Title and 8.Price of 9.Number of 10.Ownership 11.Nature Amount of Derivative Derivative Form of of Underlying Security Securities Derivative Indirect Securities (Instr. 5) Beneficially Security: Beneficial (Instr.3 and Owned at End Direct (D) Ownership 4) of Month or (Instr.4) (Instr.4) Indirect (I) (Instr.4) Title Amount or Number of Shares Common Stock, 12,846 (2) 221,174 D - par value $0.01 per share
Explanation of Responses: (1) On October 21 1996, the reporting person sold 78,991 shares of Common Stock in an underwritten public offering at a price of $28.75 per share. On October 24,1996, the reporting person sold an additional 15,798 shares of Common Stock pursuant to the exercise by the underwriters of an over-allotment option granted in connection with such underwritten public offering at a price of $28.75 per share. (2) Represents grants to reporting person of stock options with the folowing exercise prices, vesting schedules and expiration dates: (i) grants pursuant to the 1988 Stock Option Plan of options to purchase 196,004 shares of Common Stock at an exercise price of $1.065 per share; such options are currently vested and exercisable and expire, with certain exceptions, five years after the dates of vesting; (ii) November 1995 grant pursuant to the 1988 Stock Option Plan of options to purchase 14,657 shares of Common Stock at an exercise price of $5.01 per share; such options vest and become exercisable in two equal annual installments at the end of each of fiscal 1996 and 1997 and expire, with certain exceptions, five years after the date of vesting; (iii) February 1996 grant pursuant to the 1988 Stock Option Plan of options to purchase 6,840 shares of Common Stock at an exercise price of $8.06 per share; such options vest and become exercisable in two equal annual installments at the end of each of fiscal 1996 and 1997 and expire, with certain exceptions, five years after the dates of vesting; (iv) April 1996 grant pursuant to the New Stock Incentive Plan of options to purchase 3,673 shares of Common Stock at an exercise price of $8.06 per share; such options vest and become exercisable at the end of each of fiscal 1996 and 1997 and expire, with certain exceptions, on the tenth anniversary of the date of grant. **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/Philip Kaplan 11/5/96 - ----------------------------------------------- ------------------ **Signature of Reporting Person Date PHILIP KAPLAN -----END PRIVACY-ENHANCED MESSAGE-----