-----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, LVKRYzxHyDS6MM6ByWvrasTxd7Yuh9zBscGKgV3S0+NJ9hisTLqRL6YcgXYq++zE W5eOAO8RMftzaZeMlqeiPg== 0000850090-98-000003.txt : 19980317 0000850090-98-000003.hdr.sgml : 19980317 ACCESSION NUMBER: 0000850090-98-000003 CONFORMED SUBMISSION TYPE: 8-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980312 ITEM INFORMATION: FILED AS OF DATE: 19980313 SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: ANNTAYLOR INC CENTRAL INDEX KEY: 0000850090 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-WOMEN'S CLOTHING STORES [5621] IRS NUMBER: 510297083 STATE OF INCORPORATION: DE FISCAL YEAR END: 0128 FILING VALUES: FORM TYPE: 8-K/A SEC ACT: SEC FILE NUMBER: 001-11980 FILM NUMBER: 98565025 BUSINESS ADDRESS: STREET 1: 142 W 57TH ST CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125413300 8-K/A 1 ANNTAYLOR INC AMENDED 8-K SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 16, 1998 ----------------------- ANNTAYLOR, INC. ------------------------------------------------------ (Exact name of registrant as specified in its charter) Delaware 1-11980 51-0297083 - --------------------------- ------------- --------------------- (State of other jurisdiction (Commission (I.R.S. Employer of incorporation) File Number) Identification Number) 142 West 57th Street, New York, NY 10019 - --------------------------------------- ------------- (Address of principal executive offices) (Zip Code) (212) 541-3300 --------------------------------------------------- (Registrant's telephone number, including area code) N/A ------------------------------------------------------------- (Former name or former address, if changed since last report) ============================================================================== ITEM 5. Other Events - ---------------------- Dismissal of Novak v. Kasaks et al. - ------------------------------------ On March 10, 1998, the U.S. District Court for the Southern District of New York issued an Opinion granting the defendants' motions to dismiss the complaint, filed in April 1996, in the purported class action lawsuit against the Registrant, its parent company AnnTaylor Stores Corporation ("ATSC"), certain present and former directors and officers of the Registrant and ATSC, Merrill Lynch & Co. ("Merrill") and certain affiliates of Merrill (Novak v. Kasaks, et. al., No. 96 CIV 3073 (S.D.N.Y. 1996)). The ---------------------------------------------------------- complaint alleged causes of action under Section 10(b) and Section 20(a) of the Securities Exchange Act of 1934, as amended, and Rule 10b-5 promulgated thereunder, by alleging among other things that the Registrant and the other defendants engaged in a fraudulent scheme and course of business that operated a fraud or deceit on purchasers of ATSC's common stock during the period commencing February 3, 1994 through May 4, 1995 due to false and misleading statements about the Registrant and ATSC. The Court found that the complaint failed to state a claim upon which relief may be granted, and failed to plead fraud with particularity and an inability to do so. The Court's Opinion grants the plaintiffs leave to amend and re-file the complaint within thirty days of the date of the Opinion. The plaintiffs may also appeal the Court's ruling. Amendment of Stock Option Plan - ------------------------------ On January 16, 1998, ATSC adopted certain amendments (the "Amendment") to the AnnTaylor Stores Corporation Amended and Restated 1992 Stock Option and Restricted Stock and Unit Award Plan, in which employees of the Registrant are entitled to ====================================================================== participate. A copy of the Amendment is incorporated by reference to Exhibit 10 to the Current Report on Form 8-K of AnnTaylor Stores Corporation filed on March 12, 1998. ITEM 7. Financial Statements and Exhibits - ------------------------------------------ Exhibit No. Title - ------------ -------------------------------------------------- 10 January 16, 1998 Amendment to the AnnTaylor Stores Corporation Amended and Restated 1992 Stock Option and Restricted Stock and Unit Award Plan. Incorporated by reference to Exhibit 10 to the Current Report on Form 8-K of AnnTaylor Stores Corporation filed on March 12, 1998. SIGNATURES ----------- Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. AnnTaylor, Inc. Date: March 13, 1998 By: /s/ Walter J. Parks -------------------------- Walter J. Parks Senior Vice President - Chief Financial Officer -----END PRIVACY-ENHANCED MESSAGE-----