-----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, Mcfsy3E6wUdgBTKzuQLAkHBR3sBHrJSvItY8orcJeLEVmn4pdPlBU514Z7ekv2V0 reMt0podtU47eOSJwaSaZg== 0000950142-96-000689.txt : 19961211 0000950142-96-000689.hdr.sgml : 19961211 ACCESSION NUMBER: 0000950142-96-000689 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961210 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: 96678086 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: GLASS ROBERT CENTRAL INDEX KEY: 0001017606 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-WOMEN'S CLOTHING STORES [5621] OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O LOEHMANNS INC STREET 2: 2500 HALSEY ST CITY: BRONX STATE: NY ZIP: 10461 BUSINESS PHONE: 0000000000 MAIL ADDRESS: STREET 1: C/O LOEHMANNS INC STREET 2: 2500 HALSEY STREET CITY: BRONX STATE: NY ZIP: 10401 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 Glass Robert (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 11/96 - ----------------------------------------------------------------------------- 5. If Amendment, Date or Original (Month/Year) - ----------------------------------------------------------------------------- 6. Relationship of Reporting Person to Issuer (Check all applicable) Director 10% Owner ---------- ---------- X Officer (give title below) Other ---------- ---------- (specify below) Senior Vice President, Chief Financial Officer, Assistant Secretary & Treasurer - ----------------------------------------------------------------------------- Table I - Non-Derivative Securties Acquired, Disposed of, or Beneficially Owned
1. Title of security 2.Transaction 3.Transaction 4.Securities 5.Amount of 6.Ownership 7.Nature of (Inst.3) Date Code Acquired (A) Securities Form: Indirect (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 11/25/96 S 5,000 D $27.625 5,000 D Common Stock, par value $0.01 per share 11/26/96 S 5,000 D $27.275 5,000 I By Wife
- ----------------------------------------------------------------------------- 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 Options(1) (1) (1)
7.Title and Amount of 8.Price of 9.Number of 10.Ownership 11.Nature Underlying Securities Derivative Derivative Form of of (Instr. 3 and 4) Security Securities Derivative Indirect (Instr. 5) Beneficially Security: Beneficial Owned at End Direct (D) Ownership of Month or (Instr.4) (Instr.4) Indirect (I) (Instr.4) Title Amount or Number of Shares Common 42,344 42,344 (D) Stock, par value $0.01 per share
Explanation of Responses: (1) Represents three grants of stock options to reporting person: (i) November 1994 grant under the 1988 Stock Option Plan of option to purchase up to 11,172 shares of Common Stock, with an exercise price of $1.065 per share; of such options, 2,234 have vested and the remainder vest and become exercisable in four equal annual installments at the end of each fiscal 1996, 1997, 1998, and 1999 and each such installment expires five years from the date on which it vests; (ii) February 1996 grant under the New Stock Incentive Plan of options to purchase up to 11,172 shares of Common Stock with an exercise price of $8.06 per share; such options vest and become exercisable in five equal annual installments in February of each of 1997, 1998, 1999, 2000 and 2001 and expire on the tenth anniversary of the date of grant; and (iii) August 1996 grant under the New Stock Incentive Plan of options to purchase up to 20,000 shares of Common Stock with an exercise price of $22.69 per share; such options vest and become excercisable on the fifth anniversary of the date of grant and expire 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/ Robert Glass 12/9/96 - ----------------------------------------------- ------------------ **Signature of Reporting Person Date ROBERT GLASS -----END PRIVACY-ENHANCED MESSAGE-----