-----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, ICzpTm0mROxRFnBFkrmbk2CizlhOTD5LwCgPcHqDx86SHYCvQVHr2a+t7OtmwfMm gh2Cx6afsnVoX6826yEFqA== 0000740126-99-000024.txt : 19990209 0000740126-99-000024.hdr.sgml : 19990209 ACCESSION NUMBER: 0000740126-99-000024 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981225 FILED AS OF DATE: 19990208 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FINGERHUT COMPANIES INC CENTRAL INDEX KEY: 0000740126 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-CATALOG & MAIL-ORDER HOUSES [5961] IRS NUMBER: 411396490 STATE OF INCORPORATION: MN FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-08668 FILM NUMBER: 99524011 BUSINESS ADDRESS: STREET 1: 4400 BAKER RD CITY: MINNETONKA STATE: MN ZIP: 55343 BUSINESS PHONE: 6129323100 MAIL ADDRESS: STREET 1: 4400 BAKER ROAD STREET 2: 4400 BAKER ROAD CITY: MINNETONKA STATE: MN ZIP: 55343 COMPANY DATA: COMPANY CONFORMED NAME: BUCK JOHN D CENTRAL INDEX KEY: 0001074494 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-CATALOG & MAIL-ORDER HOUSES [5961] OFFICER STATE OF INCORPORATION: MN FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 4400 BAKER RD CITY: MINNETONKA STATE: MN ZIP: 55343 BUSINESS PHONE: 6129323100 MAIL ADDRESS: STREET 1: 4400 BAKER ROAD CITY: MINNETONKA STATE: MN ZIP: 55343 5 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. [ ] Form 3 Holdings Reported [X] Form 4 Transactions Reported 1. Name and Address of Reporting Person(s) Buck, John D 4400 Baker Road Minnetonka, MN 55343 2. Issuer Name and Ticker or Trading Symbol Fingerhut Companies, Inc. (FHT) 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 4. Statement for Month/Year 12/98 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) EVP, Operations, Information Services and Human Resources 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 - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Security 2)Trans- 3.Trans- 4.Securities Acquired(A) 5)Amount of 6) 7)Nature of action action or Disposed of (D) Securities Indirect Date Code A Beneficially D Beneficial (Month/ or Owned at or Ownership Day/Year) Code Amount D Price End of Year I - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 02/21/97 P 4 39.33 A $15.000000 D Direct Common Stock 05/16/97 P 4 49.86 A $15.875000 D Direct Common Stock 08/15/97 P 4 45.75 A $20.625000 D Direct Common Stock 11/14/97 P 4 42.73 (1) A $22.150000 D Direct Common Stock 02/20/98 P 4 36.60 (1) A $25.875000 D Direct Common Stock 05/14/98 S 4 0.28 D $30.935000 D Direct Common Stock 05/22/98 P 5 29.53 (1) A $32.125000 D Direct Common Stock 08/21/98 P 5 46.19 (1) A $32.500000 D Direct Common Stock 10/29/98 A 35,000.00 A (2) 90,075.71 D Direct Common Stock 184.16 I by Managed Account Table II (PART 1) Derivative Securitites Acquired, Disposed of, or Beneficially Owned (Columns 1 through 6) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 2)Conversion 3)Trans- 4)Trans- 5)Number of Derivative 6)Date Exercisable and Security or Exercise action action Securities Acquired (A) Expiration Date Price of Date Code or Disposed of (D) Derivative Security Code A D Exercisable Expiration - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $8.520000 09/25/98 A 200,000.00 09/25/99 (3) 09/25/08 (right to buy) Table II (PART 2) Derivative Securitites Acquired, Disposed of, or Beneficially Owned (Columns 1,3 and 7 through 11) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 3)Trans- 7)Title and Amount 8)Price 9)Number of 10) 11)Nature of Security action of Underlying of Deri- Derivative Indirect Date Securities vative Securities D Beneficial Amount or Security Beneficially or Ownership Number of Owned at I - Title Shares End of Year - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option 09/25/98 Common Stock 200,000.00 200,000.00 D Direct (right to buy) Explanation of Responses: (1) Purchases are matchable with a sale of 20,000 shares on May 18, 1998 at a price per share of $32.625 and a sale of 23,714 shares on May 14, 1998, at a price per share of $31.115. Accordingly, the insider has paid to the issuer $693.39, as repayment of the gain. (2) Award of restricted stock pursuant to Fingerhut Companies, Inc. 1995 Long-Term Incentive and Stock Option Plan and subject to forfeiture. (3) These options vest in 4 equal annual installments beginning one year from the date of grant.
SIGNATURE OF REPORTING PERSON Buck, John D DATE -----END PRIVACY-ENHANCED MESSAGE-----