0000940180-01-500337.txt : 20011010
0000940180-01-500337.hdr.sgml : 20011010
ACCESSION NUMBER: 0000940180-01-500337
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20011009
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: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-38694
FILM NUMBER: 1754308
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
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: ARIEL CAPITAL MANAGEMENT INC ET AL
CENTRAL INDEX KEY: 0000766883
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000]
STATE OF INCORPORATION: IL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 307 N MICHIGAN AVE
STREET 2: SUITE 500
CITY: CHICAGO
STATE: IL
ZIP: 60601
BUSINESS PHONE: 3127260140
MAIL ADDRESS:
STREET 1: 307 N MICHIGAN AVENUE
STREET 2: SUITE 500
CITY: CHICAGO
STATE: IL
ZIP: 60601
SC 13G/A
1
dsc13ga.txt
NEIMAN MARCUS GROUP AMENDMENT #2
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.__2___)*
The Neiman Marcus Group, Inc.
--------------------------------------------------------------------------------
(Name of Issuer)
Class A Common Stock
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(Title of Class of Securities)
640204202
----------------------
(CUSIP Number)
Check the following box if a fee is being paid with this statement [_].
(A fee is not required only if the filing person: (1) has a previous statement
on file reporting beneficial ownership of more than five percent of the class of
securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such class.)
(See Rule 13d-7).
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
----------------------- ----------------------
CUSIP NO. 640204202 Page 2 of 5 Page
----------------------- ----------------------
------------------------------------------------------------------------------
NAMES OF REPORTING PERSONS.
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
ARIEL CAPITAL MANAGEMENT, INC.
# 36-3219058
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
2 (a) [_]
Not Applicable (b) [_]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
Illinois Corporation
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SOLE VOTING POWER
5
NUMBER OF Ariel - 3,796,730
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
OWNED BY Ariel - 0
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING Ariel - 4,234,885
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
Ariel - 0
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
Ariel - 4,239,800
------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
Not Applicable
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11
Ariel - 4,239,800 / 27,727,837 = 15.29%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
12
Ariel - IA
------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILING OUT!
* This report is being made on behalf of John W. Rogers, Jr., Chairman
and Chief Executive Officer of Ariel Capital Management, Inc., who may be
deemed to have beneficial ownership of the securities of the issuer. Mr. Rogers
disclaims beneficial ownership of shares held by Ariel
Capital Management, Inc.
Date: 09/30/01
--------
Page 3 of 5
Item 1 (a) Name of Issuer
The Neiman Marcus Group, Inc.
-----------------------------
Item 1 (b) Address of Issuer's Principal Executive Offices
1618 Main Street, Dallas, TX 75201
---------------------------------------------------------------
Item 2 (a) Name of Person Filing
Ariel Capital Management, Inc.
------------------------------
Item 2 (b) Address of Principal Business Office:
200 E. Randolph Drive, Suite 2900, Chicago, IL 60601
--------------------------------------------
Item 2 (c) Citizenship:
an Illinois corporation
-----------------------
Item 2 (d) Title of Class of Securities:
Class A Common Stock
--------------
Item 2 (e) CUSIP Number
640204202
-------------
Item 3. This statement is filed pursuant to 13d-1(b) or 13d-2(b)
and the person filing is an investment adviser registered under
section 203 of the Investment Advisers Act of 1940.
Item 4. Ownership.
(a) Amount beneficially owned:
(See Page 2, No. 9)
-------------------
Date: 09/30/01
--------
Page 4 of 5
(b) Percent of class:
(See Page 2, No. 11)
-------------------
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote
(See Page 2, No. 5)
------------------
(ii) Shared power to vote or to direct the vote
(See Page 2, No. 6)
-------------------
(iii) Sole power to dispose or to direct the disposition of
(See Page 2, No. 7)
-------------------
(iv) Shared power to dispose or to direct the disposition of
(See Page 2, No. 8)
-------------------
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the
following: [_]
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
All securities reported upon this Schedule are owned by
investment advisory clients of Ariel Capital Management, Inc., no one
of which to the knowledge of Ariel Capital Management, Inc. owns more
that 5% of the class.
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on by the Parent Holding Company.
Not Applicable
--------------
Item 8. Identification and Classification of Members of the Group.
Not Applicable
--------------
Item 9. Notice of Dissolution of a Group
Not Applicable
--------------
Item 10. Certification
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and are held in
the ordinary course of business and were not acquired and are not held
for the purpose of or with the effect of changing or influencing the
control of the issuer of the securities and were not acquired and are
not held in connection with or as a participant in any transaction
having that purpose or effect.
Date: 09/30/01
--------
Page 5 of 5
SIGNATURE
The undersigned hereby agree that this statement is being filed on behalf
of each of them and hereby certify, after reasonable inquiry and to the best of
their knowledge and belief, that the information set forth in this statement is
true, complete and correct.
ARIEL CAPITAL MANAGEMENT, INC.
By: /s/ Eric T. McKissack
----------------------------------
Eric T. McKissack
Co-Chief Investment Officer
and Senior Vice President
JOHN W. ROGERS, JR.*
--------------------
JOHN W. ROGERS, JR.
*By: /s/ Eric T. McKissack
----------------------------------
Eric T. McKissack
DATED: April 3, 2000
--------------
* Eric T. McKissack signs this document on behalf of John W. Rogers, Jr.
pursuant to the power of attorney attached as Exhibit 1 to the Schedule 13G
filed with the Securities and Exchange Commission on or about January 10, 1994,
on behalf of Ariel Capital Management, Inc. and John W. Rogers, Jr. with respect
to Oshkosk B'Gosh, Incorporated, which said power of attorney is hereby
incorporated by reference.