-----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, KN8NG6eCARyPKi0Wstgo7HkQDHALlldl+qQIRD0nD/432AeS/YqlJlz6bD/K3Ksu PqT//0h639tt1y9ywV4AzQ== 0000874214-98-000017.txt : 19981116 0000874214-98-000017.hdr.sgml : 19981116 ACCESSION NUMBER: 0000874214-98-000017 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981112 ITEM INFORMATION: FILED AS OF DATE: 19981112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TAYLOR ANN STORES CORP CENTRAL INDEX KEY: 0000874214 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-WOMEN'S CLOTHING STORES [5621] IRS NUMBER: 133499319 STATE OF INCORPORATION: DE FISCAL YEAR END: 0201 FILING VALUES: FORM TYPE: 8-K SEC ACT: SEC FILE NUMBER: 001-10738 FILM NUMBER: 98745755 BUSINESS ADDRESS: STREET 1: 142 WEST 57TH ST CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125413300 8-K 1 ATSC 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) November 9, 1998 ---------------- ANNTAYLOR STORES CORPORATION ---------------------------- (Exact name of registrant as specified in its charter) Delaware 1-10738 13-3499319 ------------------------------ ------------ ----------------------------- (State or other jurisdiction of (Commission (I.R.S. Employer Identification incorporation) File Number) 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) =============================================================================== 2 ITEM 5. Other Events - ------- ------------ Dismissal of Novak v. Kasaks et al. - ----------------------------------- On November 9, 1998, the U.S. District Court for the Southern District of New York issued an Opinion dismissing, with prejudice, the amended complaint, filed in April 1998, in the purported class action lawsuit against AnnTaylor Stores Corporation (the "Company"), its wholly owned subsidiary AnnTaylor, Inc. ("Ann Taylor"), present and former directors and officers of the Company and Ann Taylor, Merrill Lynch & Co. ("Merrill") and certain affiliates of Merrill (Novak v. Kasaks, et. al., No. 96 CIV 3073 (S.D.N.Y. 1996)), relating to the period commencing February 3, 1994 through May 4, 1995. The amended 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. The Court found that the amended 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 plaintiffs may appeal the Court's ruling within thirty days of the date of entry of the Court's order. 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 Stores Corporation Date: November 12, 1998 By: /s/ Walter J. Parks --------------------------- Walter J. Parks Senior Vice President - Chief Financial Officer -----END PRIVACY-ENHANCED MESSAGE-----