-----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, R0FY1bYHzb6XMiQz07PW/vM4KlcK9tHor0O8Tz2uMD/9BDBc1dNILnoE3iGzpSdx 9QaMJxOg7T5fzKbzXxodmw== 0000740126-99-000044.txt : 19990413 0000740126-99-000044.hdr.sgml : 19990413 ACCESSION NUMBER: 0000740126-99-000044 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990331 FILED AS OF DATE: 19990412 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: 4 SEC ACT: SEC FILE NUMBER: 001-08668 FILM NUMBER: 99591368 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: SZAMES BRIAN M CENTRAL INDEX KEY: 0001074506 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-CATALOG & MAIL-ORDER HOUSES [5961] OFFICER STATE OF INCORPORATION: MN FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: 4 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 4 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. 1. Name and Address of Reporting Person(s) Szames, Brian M. 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 03/99 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) Vice President, Treasurer 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 V Amount D Price End of Month I - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 03/18/99 M 8,985.00 A $8.520000 D Direct Common Stock 03/18/99 M 11,015.00 A $8.520000 D Direct Common Stock 03/18/99 M 28,750.00 A $8.437500 D Direct Common Stock 03/18/99 S 48,750.00 D $24.892500 D Direct Common Stock 03/22/99 D V 112.02 (1) D $25.000000 0.00 D Direct Table II (PART 1) Derivative Securities 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 V A D Exercisable Expiration - ------------------------------------------------------------------------------------------------------------------------------------ Incentive Stock Option (right $8.437500 03/18/99 M 28,750.00 10/29/99 (2) 10/29/08 to buy) Incentive Stock Option (right $8.520000 03/18/99 M 8,985.00 09/25/99 (3) 09/25/08 to buy) Non-Qualified Stock Option $8.520000 03/18/99 M 11,015.00 09/25/99 (3) 09/25/08 (right to buy) Table II (PART 2) Derivative Securities 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 Month - ------------------------------------------------------------------------------------------------------------------------------------ Incentive Stock Option (right 03/18/99 Common Stock 28,750.00 0.00 D Direct to buy) Incentive Stock Option (right 03/18/99 Common Stock 8,985.00 0.00 D Direct to buy) Non-Qualified Stock Option 03/18/99 Common Stock 11,015.00 0.00 D Direct (right to buy) Explanation of Responses: (1) Shares acquired under the Fingerhut Companies, Inc. Employee Stock Purchase Plan (2) These options vest in 33-1/3% annual increments beginning one year from the date of grant. (3) These options vest in 4 equal annual installments beginning one year from the date of grant.
SIGNATURE OF REPORTING PERSON /S/ Szames, Brian M. DATE -----END PRIVACY-ENHANCED MESSAGE-----