FORM 4 |
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 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
NEIMAN MARCUS GROUP INC [ NMG.B ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/15/2003 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class B Common Stock | 10/15/2003 | J | 1,485(1) | D | $44.36 | 176,513 | D | |||
Class B Common Stock | 190,946 | I | see notes(2)(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Employee Stock Option (right to buy) | $27.25 | 12/22/2000(4) | 12/22/2004 | Class A Common Stock | 55,500 | 55,500 | D |
Explanation of Responses: |
1. Represents (1) a distribution of 495 shares by Richard A. Smith to the Robert Smith and Dana Weiss 1994 Trust for the benefit of Madeleine W. Smith u/d/t dated 12/1/1994, of which Dana A. Weiss and Mark D. Balk are trustees; (2) a distribution of 495 shares by Richard A. Smith to the Robert Smith and Dana Weiss 1994 Trust for the benefit of Ryan A. Smith u/d/t dated 12/1/1994, of which Dana A. Weiss and Mark D. Balk are trustees; and (3) a distribution of 495 shares by Richard A. Smith to the Robert Smith and Dana Weiss 1994 Trust for the benefit of Jackson A. Smith u/d/t dated 12/1/1994, of which Dana A. Weiss and Mark D. Balk are trustees. |
2. Reflects the shares owned directly or indirectly by the following persons or entities and indirectly by Robert A. Smith: 28,997 shares owned indirectly as a 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; 4,391 shares owned indirectly by Dana A. Weiss, the reporting person's wife, as a trustee of the Robert A. Smith and Dana Weiss 1994 Children's Trust for the benefit of Madeleine W. Smith; 4,391 shares owned indirectly by Dana A. Weiss, the reporting person's wife, as a trustee of the Robert A. Smith and Dana Weiss 1994 Children's Trust for the benefit of Ryan A. Smith; 4,391 shares owned indirectly by Dana A. Weiss, the reporting person's wife, as a trustee of the Robert A. Smith and Dana Weiss 1994 Children's Trust for the benefit of Jackson A. Smith; |
3. 52,360 shares owned indirectly by Robert A. Smith and Dana A. Weiss as trustees of the Robert A. Smith Grantor Retained Annuity Trust; 48,208 shares owned indirectly by Dana A. Weiss as a trustee of the Robert A. Smith 1998 Grantor Retained Annuity Trust; and 48,208 shares owned indirectly by Robert A. Smith as a trustee for the Robert A. Smith 1978 Insurance Trust. The reporting person disclaims beneficial ownership of 13,173 of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
4. The option vests in five equal annual installments beginning on December 22, 2000. |
Remarks: |
Mark D. Balk signs this form as attorney-in-fact for Robert A. Smith. |
Mark D. Balk | 10/16/2003 | |
** Signature of Reporting Person | Date | |
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). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |