4 1 sdc221.txt FORM 4 ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response ....... 0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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(h) of the Investment Company Act of 1940 [_] Check this 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* MILSTEIN, PHILIP L. -------------------------------------------------------------------------------- (Last) (First) (Middle) 5 EAST 42ND STREET -------------------------------------------------------------------------------- (Stree NEW YORK, NY 10017 -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol THE MARCUS CORPORATION (NYSE: MCS) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Day/Year OCTOBER 10, 2002 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Day/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/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 ================================================================================
5. 6. 2A. 4. Amount of Owner- Deemed Securities Acquired (A) or Securities ship 2. Execution 3. Disposed of (D) Beneficially Form: 7. Transaction Date, if Transaction (Instr. 3, 4 and 5) Owned Follow- Direct Nature of Date any Code ------------------------------- ing Reported (D) or Indirect 1. (Month/ (Month/ (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Day/ Day/ ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Year) Code V (D) and 4) (Instr.4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 10/10/02 A 392 A (2) 53,333 D ------------------------------------------------------------------------------------------------------------------------------------ Common Stock No Change 2,000 I By Spouse(1) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock No Change 8,100 I By Children(1) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock No Change 5,625 I By Self as Trustee for Abby Black Elbaum (1) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock No Change 57,500 I By Self as Trustee for PLM Foundation(1) ------------------------------------------------------------------------------------------------------------------------------------ Class B Common Stock No Change 62,055 I As Partner of Northmon Investment Co. ------------------------------------------------------------------------------------------------------------------------------------ Class B Common Stock No Change 39,601 D ==================================================================================================================================== Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v).
Persons who respond to the collection of information contained in this form are not required to respond (Over) unless the form displays a currently valid OMB SEC 1474 (9-02) control number. FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ====================================================================================================================================
9. 10. Number Owner- 5. of Deriv- ship Number of ative Form 2. Deriva- Securi- of Conver- tive 7. ties Deriv- 11. sion Securi- Title and Amount Benefi- ative Nature or 3A. ties 6. of Underlying 8. cially Secur- of Exer- Deemed 4. Acquired Date Securities Price Owned ity: In- cise 3. Execu- Trans- (A) or Exercisable and (Instr. 3 and 4) of Follow- Direct direct Price Trans- tion action Disposed Expiration Date ---------------- Deriv- ing (D) or Bene- 1. of action Date, Code of(D) (Month/Day/Year) Amount ative Reported In- ficial Title of Deriv- Date if any (Instr. (Instr 3, ----------------- or Secur- Transac- direct Owner- Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity tion(s) (I) ship Security Secur- Day/ Day/ ------ --------- Exer- tion of (Instr. (Instr. (Instr (Instr (Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $14.25 No Immed. 12/18/05 * 1,500 (2) 1,500 D (Right to Buy) Change ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $16.3334 No Immed. 5/29/07 * 750 (2) 750 D (Right to Buy) Change ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $18.125 No Immed. 5/28/08 * 500 (2) 500 D (Right to Buy) Change ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $12.75 No Immed. 5/27/09 * 500 (2) 500 D (Right to Buy) Change ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $11.00 No Immed. 5/25/10 * 500 (2) 500 D (Right to Buy) Change ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $14.30 No Immed. 5/31/11 * 500 (2) 500 D (Right to Buy) Change ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $13.14 No Immed. 5/30/12 * 500 (2) 500 D (Right to Buy) Change ==================================================================================================================================== Explanation of Responses: * Common Stock (1) The undersigned disclaims any beneficial interest in shares owned by his wife, children, held by him as trustee for Ms. Abby Black Elbaum, or held by him as trustee for PLM Foundation. (2) Grant by Issuer in consideration of service as a director. PHILIP L. MILSTEIN /s/ Ralph J. Gundrum 10-14-02 --------------------------------------------- ----------------------- **Signature of Reporting Person Date By Ralph J. Gundrum, attorney-in-fact ** 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 is insufficient, see Instruction 6 for procedure. 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