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Proc-Type: 2001,MIC-CLEAR
Originator-Name: webmaster@www.sec.gov
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0000819539-02-000013.txt : 20020828
0000819539-02-000013.hdr.sgml : 20020828
20020828153513
ACCESSION NUMBER: 0000819539-02-000013
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20020803
FILED AS OF DATE: 20020828
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: NEIMAN MARCUS GROUP INC
CENTRAL INDEX KEY: 0000819539
STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-DEPARTMENT STORES [5311]
IRS NUMBER: 954119509
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0801
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09659
FILM NUMBER: 02751198
BUSINESS ADDRESS:
STREET 1: ONE MARCUS SQUARE
STREET 2: 1618 MAIN STREET
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214-741-6911
MAIL ADDRESS:
STREET 1: ONE MARCUS SQUARE
STREET 2: 1618 MAIN STREET
CITY: DALLAS
STATE: TX
ZIP: 75201
COMPANY DATA:
COMPANY CONFORMED NAME: SEWELL CARL
CENTRAL INDEX KEY: 0001171075
DIRECTOR
FILING VALUES:
FORM TYPE: 5
BUSINESS ADDRESS:
STREET 1: NEIMAN MARCUS GROUP INC
STREET 2: 1618 MAIN ST
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 2147437600
MAIL ADDRESS:
STREET 1: NEIMAN MARCUS GROUP INC
STREET 2: 1618 MAIN ST
CITY: DALLAS
STATE: TX
ZIP: 75201
5
1
cs5-02.htm
YEAR ENDING 8-3-02
FORM 5
[ ] Check this box if no longer
subject to Section 16. Form 4
or Form 5 obligations my
continue. See Instruction 1(b).
[ ] Form 3 Holdings Reported
[ ] Form 4 Transactions Reported |
UNITED STATES 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 |
OMB APPROVAL
OMB No. 3235-0362
Expires: 01/31/2005
Estimated average burden
hours per response: 1.0
|
(Print or Type Response)
1. Name and Address of Reporting Person*
Sewell Carl
(Last) (First) (Middle)
c/o The Neiman Marcus Group, Inc.
1618 Main Street |
2. Issuer Name and Ticker or Trading Symbol
The Neiman Marcus Group, Inc.
(NMG.A)
3. IRS or Social Security Number of
Reporting Persons (Voluntary)
|
6. Relationship of Reporting Person(s) to Issuer
(check all applicable)
X Director 10% Owner
Officer Other (specify
below)
|
(Street)
Dallas Texas 75201 |
4. Statement for Month/Year
August 2002 |
7. Individual or Joint/Group Reporting (Check Applicable)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person |
(City) (State) (Zip) |
5. If Amendment, Date of Original
(Month/Year) |
|
Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security
(Instr. 3) |
2. Trans-
action
Date
(Month/
Day/
Year) |
3. Transaction
Code
(Instr. 8)
Code V |
4. Securities Acquired (A)
or Disposed of (D)
(Instr. 3, 4 and 5)
Amount (A) or (D) Price |
5. Amount of
Securities
Beneficially
Owned at the
End of Issuer's
Fiscal Year
(Instr. 3 and 4) |
6. Ownership
Form:
Direct (D)
or Indirect
(I)
(Instr. 4) |
7. Nature of
Indirect
Bene-
ficial
Ownership
(Instr. 4) |
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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).
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title
of Deriv-
ative Sec-
urity
(Instr. 3) |
2. Conver-
sion or
Exercise
Price of
Deriv-
ative
Security |
3. Trans-
action
Date
(Month/
Day/
Year) |
4. Transac-
Code
(Instr. 8)
|
5. Number
of Deriv-
ative secur-
ities Acq-
quired (A)
or Disposed
of (D)
(Instr. 3, 4
and 5)
(A) (D) |
6. Date Exer-
cisable and Ex-
piration Date
(Month/Day/
Year)
Date Expira-
Exer- tion
siable Date |
7. Title and Amount
of Underlying Sec-
urities
(Instr. 3 and 4)
Amount
or Num-
ber of
Title Shares |
8. Price
of
Deriv-
ative
Secur-
ity
(Instr.
5) |
9. Num-
ber of
Deriva-
tive Secur-
ities
Bene-
ficially
Owned
at End
of
Year
(Instr. 4) |
10. Own-
ership
Form of
Deriva-
tive Secu-
rity:
Direct
(D) or
Indirect
(i)
Instr. 4 |
11. Na-
ture of
Indirect
Benefi-
cial Owner-
ship
(Instr. 4). |
Phantom
Stock Units(1) |
n/a
|
04/30/02
|
A
|
45.294
|
(1)
|
Class A Common
Stock 45.294(2) |
$36.797
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D
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Phantom
Stock Units(1) |
n/a
|
08/03/02
|
A
|
181.068
|
(1)
|
Class A Common
Stock 181.068(2) |
$27.614
|
226.362
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D
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Explanation of Responses:
(1) Pursuant to The Neiman Marcus Group, Inc. Deferred Compensation Plan for Non-Employee Directors, non-employee directors of The Neiman Marcus Group, Inc.
(the "Company") receive shares of Class A common stock equivalents as part of their directors' compensation ("Mandatory Deferred Units"), and are permitted to elect to receive
shares of common stock equivalents in lieu of their cash compensation ("Elective Deferred Units"). The number and "price" of such units are determined quarterly and are
calculated by dividing the amount of fees in each fiscal quarter by the average of the market price of the Company's Class A common stock during the last five trading days of
such fiscal quarter. Settlement of these units is in cash.
(2) Represents Mandatory Deferred Units.
** Intentional misstatements or omission of facts constitute Federal Criminal
Violations. See 18 U.S. 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 procedures.
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. |
Carl Sewell Aug. 23, 2002
**Signature of Reporting Person Date
|
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