-----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, Ggkp6KuRff4NvbOrR0yXgVODXdi8hnZ1D1+aONdn99IiC5mCHNEV0WtiyQFVuhmp PUE6mtl0TaruDKuPhn0dzg== 0001015215-04-000001.txt : 20040728 0001015215-04-000001.hdr.sgml : 20040728 20040728144136 ACCESSION NUMBER: 0001015215-04-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040726 FILED AS OF DATE: 20040728 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BALK MARK D CENTRAL INDEX KEY: 0001015215 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09659 FILM NUMBER: 04935695 BUSINESS ADDRESS: STREET 1: GOULSTON & STORRS STREET 2: 400 ATLANTIC AVENUE ATTN: MARK BALK CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6175744017 ISSUER: 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 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2004-07-26 0 0000819539 NEIMAN MARCUS GROUP INC NMG.B 0001015215 BALK MARK D GOULSTON & STORRS, PC 400 ATLANTIC AVENUE BOSTON MA 02110 0 0 0 1 Member of Schedule 13D group Class B Common Stock 2004-07-26 4 J 0 39090 49.69 A 624831 I See footnotes Class B Common Stock 2004-07-26 4 J 0 39090 49.69 A 624831 I See footnotes Class B Common Stock 2004-07-26 4 J 0 39091 49.69 A 624831 I See footnotes Class B Common Stock 2004-07-26 4 J 0 18078 49.69 A 624831 I See footnotes Class B Common Stock 2004-07-26 4 J 0 18078 49.69 A 624831 I See footnotes Class B Common Stock 2004-07-26 4 J 0 18078 49.69 A 624831 I See footnotes Class B Common Stock 2004-07-26 4 J 0 23803 49.69 A 624831 I See footnotes Class B Common Stock 2004-07-26 4 J 0 23802 49.69 A 624831 I See footnotes Class B Common Stock 2004-07-26 4 J 0 16069 49.69 A 624831 I See footnotes Class B Common Stock 2004-07-26 4 J 0 16070 49.69 A 624831 I See footnotes Class B Common Stock 2004-07-26 4 J 0 16069 49.69 A 624831 I See footnotes Represents a distribution of 39,090 shares by Susan F. Smith Grantor Retained Annuity Trust 5 Years udt dated September 1, 1998 Susan F. Smith Grantor Retained Annuity Trust 5 Years udt dated September 1, 1998 fbo Amy Smith Berylson, of which the reporting person, along with Amy Smith Berylson, is a trustee. Reflects the shares held indirectly by Mark D. Balk as trustee of the following trusts: 18,078 shares owned indirectly as trustee of the Amy Smith Berylson 1998 Grantor Retained Annuity Trust f/b/o Jennifer L. Berylson; 18,078 shares owned indirectly as trustee of the Amy Smith Berylson 1998 Grantor Retained Annuity Trust f/b/o Elizabeth S. Berylson; 18,078 shares owned indirectly as trustee of the Amy Smith Berylson 1998 Grantor Retained Annuity Trust f/b/o James T. Berylson; 16,069 shares owned indirectly as trustee of the Robert A. Smith 1998 Grantor Retained Annuity Trust f/b/o Jackson A. Smith; 16,070 shares owned indirectly as trustee of the Robert A. Smith 1998 Grantor Retained Annuity Trust f/b/o Madeleine W. Smith; 16,069 shares owned indirectly as trustee of the Robert A. Smith 1998 Grantor Retained Annuity Trust f/b/o Ryan A. Smith; 23,803 shares owned indirectly as trustee of the Debra S. Knez 1998 Grantor Retained Annuity Trust f/b/o Jessica M. Knez; 23,802 shares owned indirectly as trustee of the Debra S. Knez 1998 Grantor Retained Annuity Trust f/b/o Andrew P. Knez; 5,026 shares owned indirectly as trustee of the J-J-E 1988 Trust f/b/o Jennifer L. Berylson; 5,026 shares owned indirectly as trustee of the J-J-E 1988 Trust f/b/o James T. Berylson; 5,026 shares owned indirectly by Mark D. Balk as trustee of the J-J-E 1988 Trust f/b/o Elizabeth S. Berylson; 5,849 shares owned indirectly as trustee of the Debra and Brian Knez 1988 Childrens Trust f/b/o Jessica M. Knez; 5,849 shares owned indirectly as trustee of the Debra and Brian Knez 1988 Childrens Trust f/b/o Andrew P. Knez; 4,391 shares owned indirectly as trustee of the Robert Smith and Dana Weiss 1994 Childrens Trust f/b/o Madeleine W. Smith; 4,391 shares owned indirectly as trustee of the Robert Smith and Dana Weiss 1994 Childrens Trust f/b/o Ryan A. Smith; 4,391 shares owned indirectly as trustee of the Robert Smith and Dana Weiss 1994 Childrens Trust f/b/o Jackson A. Smith; 48,208 shares owned indirectly as trustee of the Amy Smith Berylson 1978 Insurance Trust u/d/t dtd. September 5, 1978; 48,208 shares owned indirectly as trustee of the Robert Smith Insurance Trust u/d/t dtd. September 5, 1978; 48,208 shares owned as trustee of the Debra Smith Knez Insurance Trust u/d/t dtd. September 5, 1978; 96,416 shares owned indirectly as trustee of the Nancy Lurie Marks 1976 Trust f/b/o Cathy Lurie u/d/t dtd. December 16, 1976; 96,416 shares owned indirectly as trustee of the Nancy Lurie Marks 1976 Trust f/b/o Peter Lurie u/d/t dtd. December 16, 1976; 28,997 shares owned indirectly as trustee of the Susan F. Smith Grantor Retained Annuity Trust 7 Years u/d/t dated August 10, 1994 f/b/o Amy Smith Berylson; 28,997 shares owned indirectly as trustee of the Susan F. Smith Grantor Retained Annuity Trust 7 Years u/d/t dated August 10, 1994 f/b/o Robert A. Smith; 28,997 shares owned indirectly as trustee of the Susan F. Smith Grantor Retained Annuity Trust 7 Years u/d/t dated August 10, 1994 f/b/o Debra Smith Knez; 10,388 shares owned indirectly as trustee of the ADR Charitable Foundation and Trust U/D/T Dated 11/1/68. Mark D. Balk disclaims beneficial ownership of all of these shares and this report shall not be deemed an admission that Mark D. Balk is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Represents a distribution of 39,090 shares by Susan F. Smith Grantor Retained Annuity Trust 5 Years u/d/t dated September 1, 1998 to Susan F. Smith Grantor Retained Annuity Trust 5 Years u/d/t dated September 1, 1998 f/b/o Debra Smith Knez, of which the reporting person, along with Debra Smith Knez, is a trustee. Represents a distribution of 39,091 shares by Susan F. Smith Grantor Retained Annuity Trust 5 Years u/d/t dated September 1, 1998 to Susan F. Smith Grantor Retained Annuity Trust 5 Years u/d/t dated September 1, 1998 f/b/o Robert A. Smith, of which the reporting person, along with Robert A. Smith, is a trustee. Represents a distribution of 18,078 shares by Amy Smith Berylson 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 to Amy Smith Berylson 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 f/b/o Jennifer L. Berylson, of which the reporting person, along with John G. Berylson, is a trustee. Represents a distribution of 18,078 shares by Amy Smith Berylson 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 to Amy Smith Berylson 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 f/b/o Elizabeth S. Berylson, of which the reporting person, along with John G. Berylson, is a trustee. Represents a distribution of 18,078 shares by Amy Smith Berylson 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 to Amy Smith Berylson 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 f/b/o James T. Berylson, of which the reporting person, along with John G. Berylson, is a trustee. Represents a distribution of 23,803 shares by Debra Smith Knez 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 to Debra Smith Knez 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 f/b/o Jessica M. Knez, of which the reporting person, along with Brian J. Knez, is a trustee. Represents a distribution of 23,802 shares by Debra Smith Knez 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 to Debra Smith Knez 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 f/b/o Andrew P. Knez, of which the reporting person, along with Brian J. Knez, is a trustee. Represents a distribution of 16,069 shares by Robert A. Smith 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 to Robert A. Smith 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 f/b/o Jackson A. Smith, of which the reporting person, along with Dana A. Weiss, is a trustee. Represents a distribution of 16,070 shares by Robert A. Smith 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 to Robert A. Smith 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 f/b/o Madeleine W. Smith, of which the reporting person, along with Dana A. Weiss, is a trustee. Represents a distribution of 16,069 shares by Robert A. Smith 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 to Robert A. Smith 1998 Grantor Retained Annuity Trust u/d/t dated November 2, 1998 f/b/o Ryan A. Smith, of which the reporting person, along with Dana A. Weiss, is a trustee. Mark D. Balk 2004-07-28 -----END PRIVACY-ENHANCED MESSAGE-----