-----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, EnCU0ozH+dnjt/5iCTABVeiWSn/CgSTNXCN9ea+qnw1uALlm8GnR4ZCwoPxweGhO 7xR4HeouhsoqzTzzIHfQpw== 0001298834-05-000002.txt : 20051007 0001298834-05-000002.hdr.sgml : 20051007 20051007101036 ACCESSION NUMBER: 0001298834-05-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20051006 FILED AS OF DATE: 20051007 DATE AS OF CHANGE: 20051007 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: 0731 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Richard A CENTRAL INDEX KEY: 0001298834 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09659 FILM NUMBER: 051128511 BUSINESS ADDRESS: BUSINESS PHONE: (617) 574-4017 MAIL ADDRESS: STREET 1: C/O MARK D. BALK, GOULSTON & STORRS, PC STREET 2: 400 ATLANTIC AVENUE CITY: BOSTON STATE: MA ZIP: 02110 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2005-10-06 1 0000819539 NEIMAN MARCUS GROUP INC NMG.B 0001298834 Smith Richard A C/O MARK D. BALK, GOULSTON & STORRS, PC 400 ATLANTIC AVENUE BOSTON MA 02110 1 0 0 1 Member of Schedule 13D group Class B Common Stock 2005-10-06 4 U 0 2907784 100 D 0 I see footnotes Reflects shares disposed of pursuant to the Agreement and Plan of Merger dated May 1, 2005, among The Neiman Marcus Group, Inc., Newton Acquisition, Inc. and Newton Acquisition Merger Sub, Inc. that are held directly by the following persons or entities and indirectly by the reporting person: 86,991 shares held by Marian Realty Company of which the reporting person beneficially owns 50% of the stock; 144,301 shares held by the Susan F. Smith Grantor Retained Annuity Trust 15 Years; 974,134 shares held by the Trust U/W Philip Smith for the benefit of Richard A. Smith; 974,134 shares held by the Trust U/W Philip Smith for the benefit of Nancy L. Marks; 24,104 shares held by the Richard A. Smith 1976 Trust for the benefit of Amy Smith Berylson; 48,208 shares held by the Richard A. Smith 1976 Trust for the benefit of Debra Smith Knez; 48,208 shares held by the Richard A. Smith 1976 Trust for the benefit of Robert A. Smith; 12,052 shares held by the Marian Smith D R A 1976 Trust for the benefit of Amy Smith Berylson; 24,104 shares held by the Marian Smith D R A 1976 Trust for the benefit of Debra Smith Knez; 24,104 shares held by the Marian Smith D R A 1976 Trust for the benefit of Robert A. Smith; 20,058 shares held by the Richard A. Smith Family Trust U/W/O Marian J. Smith for the benefit of Robert A. Smith; 20,058 shares held by the Richard A. Smith Family Trust U/W/O Marian J. Smith for the benefit of Debra Smith Knez; 183,793 shares held by C J P Trust fbo Cathy Lurie U/I/T dated 12/10/73; 183,793 shares held by C J P Trust fbo Peter Lurie U/I/T dated 12/10/73; 30,074 shares held by Peter A. Lurie Trust U/W/O Marian J. Smith; 59,669 shares held by Morris J. Lurie Family Trust U/I/T dated 4/15/58 fbo Cathy J. Lurie; 59,669 shares held by Morris J. Lurie Family Trust U/I/T dated 4/15/58 fbo Peter A. Lurie; and 10,388 shares owned indirectly by the wife of the reporting person as trustee of the ADR Charitable Foundation and Trust U/D/T Dated 11/1/68. The reporting person disclaims beneficial ownership of 1,846,659 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. /s/ Mark D. Balk, Attorney-in-Fact 2005-10-07 -----END PRIVACY-ENHANCED MESSAGE-----