-----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, N2EAZMGuJVO9p6TjpkhF60uSe+km3Oq/7sJppFs+IK1NgaCNQABEJa6wVEmrRMFR zkMpdpo0GyB3y/D5Tiz5CA== 0000950142-02-000020.txt : 20020413 0000950142-02-000020.hdr.sgml : 20020413 ACCESSION NUMBER: 0000950142-02-000020 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011228 FILED AS OF DATE: 20020109 COMPANY DATA: COMPANY CONFORMED NAME: AUGUST GLENN R CENTRAL INDEX KEY: 0001013025 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 3/A BUSINESS ADDRESS: STREET 1: 65 EAST 55TH STREET 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123261590 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STAGE STORES INC CENTRAL INDEX KEY: 0000006885 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-FAMILY CLOTHING STORES [5651] IRS NUMBER: 911826900 STATE OF INCORPORATION: NV FISCAL YEAR END: 0130 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-14035 FILM NUMBER: 2505055 BUSINESS ADDRESS: STREET 1: 10201 MAIN ST CITY: HOUSTON STATE: TX ZIP: 77025 BUSINESS PHONE: 7136675601 MAIL ADDRESS: STREET 1: 10201 MAIN STREET CITY: HOUSTON STATE: TX ZIP: 77025 FORMER COMPANY: FORMER CONFORMED NAME: APPAREL RETAILERS INC DATE OF NAME CHANGE: 19930908 FORMER COMPANY: FORMER CONFORMED NAME: TEXTILE DISTRIBUTORS INC DATE OF NAME CHANGE: 19690521 3/A 1 form3aaugust-stage.txt FORM 3 AMENDMENT ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0104 Expires: December 31, 2001 Estimated average burden hours per response........0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF 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 (Print or Type Responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* August Glenn R. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 65 East 55th Street, 32nd Floor - -------------------------------------------------------------------------------- (Street) New York NY 10022 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Date of Event Requiring Statement (Month/Day/Year) 12/28/01 ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Issuer Name and Ticker or Trading Symbol Stage Stores, Inc. ("STGS") ________________________________________________________________________________ 5. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below)** ________________________________________________________________________________ 6. If Amendment, Date of Original (Month/Day/Year) 12/28/01 ________________________________________________________________________________ 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 BENEFICIALLY OWNED ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $0.01 per share 172,330 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $0.01 per share 3,312,121 (I) (1) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
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 5(b)(v). 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. (Over) SEC 1473 (3-99) FORM 3 (continued) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (right to buy) (2) (2) Common Stock 20,000 (2) (I) (3) - ------------------------------------------------------------------------------------------------------------------------------------ Equity Swap (obligation to sell)(4) 12/22/2000 12/27/2005 Common Stock 172,330 $0.648 (D) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) 1,681,506 of such shares of Common Stock are held by Oak Hill Securities Fund, L.P. ("OHSF"), 1,546,879 of such shares of Common Stock are held by Oak Hill Securities Fund II, L.P. ("OHSF II") and 83,736 of such shares of Common Stock are held by two investment advisory clients of Oak Hill Asset Management, Inc. ("OHAM"). By virtue of his ultimate control over each of OHSF and OHSF II, the Reporting Person may be deemed to beneficially own the shares of Common Stock held by such entities. In addition, the Reporting Person controls OHAM, which is the investment advisor to two persons who own shares of Common Stock. By virtue of the investment advisory agreements between OHAM and such investment advisory clients, the Reporting Person may be deemed to beneficially own the shares of Common Stock held by such investment advisory clients. (2) The options were issued in three equal groupings with per share exercise prices of $13.75, $15.00 and $16.25, respectively. The right to exercise these options will vest over four years from August 24, 2001, with 25% of each group vesting at the end of each of the first four years following the date of grant, and will expire on the earlier of (i) sixty (60) days after the date the Reporting Person is no longer a Director of the Issuer and (ii) ten years from the date of the grant. (3) The Reporting Person is the controlling person of Oak Hill Advisors, L.P. ("OHA"), the entity that holds the options to purchase an aggregate of 20,000 shares of Common Stock reported in Table II, and may be deemed to beneficially own the shares of Common Stock for which such options are exercisable. (4) The Reporting Person entered into a derivative transaction with respect to certain debt securities that were exchanged into 172,330 shares of Common Stock. The Reporting Person disclaims beneficial ownership of the securities held by OHSF, OHSF II, OHA and the investment advisory clients of OHAM in excess of his direct or indirect interest in the profits or capital accounts of OHSF, OHSF II, OHA and OHAM, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities in excess of such amount. The Reporting Person may be deemed a member of a Section 13(d) group that owns more than 10% of the Issuer's outstanding Common Stock. However, the Reporting Person disclaims such group membership, and this report shall not be deemed an admission that the reporting person is a member of a Section 13(d) group that owns more than 10% of the Issuer's outstanding Common Stock for purposes of Section 16 or for any other purpose. /s/ Glenn R. August January 9, 2002 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date Name: Glenn R. August ** 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. 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 -----END PRIVACY-ENHANCED MESSAGE-----