-----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, DW0J2nS6nTJkRJYmmhDrV7WWSzq5s9WFv6gx/75mR/+2A07xTl7akZyTojfM7s+4 31t7ZDoDRTx0uFv/ivoSJg== 0000950142-97-000794.txt : 19971010 0000950142-97-000794.hdr.sgml : 19971010 ACCESSION NUMBER: 0000950142-97-000794 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971001 FILED AS OF DATE: 19971009 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: 4 SEC ACT: SEC FILE NUMBER: 000-28410 FILM NUMBER: 97692993 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
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 4 OMB APPROVAL - ----------------------------------- -------------------------------- [ ] CHECK THIS BOX IF NO LONGER OMB Number: 3235-0287 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 .... 0.5 --------------------------------
1. Name and Address of Reporting Person * Kaplan Philip (Last) (First) (Middle) c/o Loehmann's, Inc., 2500 Halsey Street (Street) Bronx New York 10461 (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 10/97 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 Other ----- below) ----- (specify below) President and Chief Operating Officer ---------------------------------------- 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(1) 9/3/97 X 30,000 A $1.0650 Common Stock(1) 9/3/97 S 16,000 D $6.0195 Common Stock(2) 9/15/97 X 15,000 A $1.0650 Common Stock(2) 9/15/97 S 10,000 D $8.00 Common Stock(3) 9/16/97 X 20,000 A $1.0650 Common Stock(3) 9/16/97 S 10,000 D $8.00 Common Stock 9/16/97 S 2,000 D $8.75 49,000 D - ----------------------------- -------------- ------------- ---------- --- ------- --------------- ------------- ----------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). SEC 1474 8-92)
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) ------------- ------------------------- ---------------------- Date Expira- Code (A) (D) Exer- tion cisable Date - -------------------------------------- ------------- ----------- ------------- ----------- ----------- ----------- --------- Stock Options $1.065 9/3/97 X 30,000 (4) (4) Stock Options $1.065 9/15/97 X 15,000 (4) (4) Stock Options $1.065 9/16/97 X 20,000 (4) (4) - -------------------------------------- ------------- ----------- ------------- ----------- ----------- ----------- --------- 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 30,000 Common Stock 15,000 Common Stock 20,000 111,175(4) D - --------------------- --------------- ------------- ------------- ------------- --------------
Explanation of Responses: (1) On September 3, 1997, reporting person exercised stock options to acquire 30,000 shares of Common Stock at an exercise price of $1.065 per share. On September 3, 1997, reporting person sold 16,000 shares of Common Stock for $6.0195 per share. (2) On September 15, 1997, reporting person exercised stock options to acquire 15,000 shares of Common Stock at an exercise price of $1.065 per share. On September 15, 1997, reporting person sold 10,000 shares of Common Stock for $8.00 per share. (3) On September 16, 1997, reporting person exercised stock options to acquire 20,000 shares of Common Stock at an exercise price of $1.065 per share. On September 16, 1997, reporting person sold 10,000 shares of Common Stock for $8.00 per share. (4) Options exercised were from grants pursuant to the 1988 Stock Option Plan. Pursuant to the 1988 Stock Option Plan, reporting person holds options to purchase 86,005 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. Reporting person also holds stock options with the following exercise prices, vesting schedules and expiration dates: (i) options to purchase 14,657 shares of Common Stock at an exercise price of $5.01 per share, which 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, (ii) options to purchase 6,840 shares of Common Stock at an exercise price of $8.06 per share, which 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 and (iii) options to purchase 3,673 shares of Common Stock at an exercise price of $8.06 per share, which 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, 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 10/9/97 - ----------------------------------------------- ---------------------- **Signature of Reporting Person Date -----END PRIVACY-ENHANCED MESSAGE-----