-----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, F+pLGu9wQjbMt7OGJVqCKi8u7S9qww3v8t7JcddALspimFIJI4YFHrxxUeINW16q A53+6feyYC6snhMFOU++Gg== 0000884940-02-000013.txt : 20020510 0000884940-02-000013.hdr.sgml : 20020510 ACCESSION NUMBER: 0000884940-02-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020430 FILED AS OF DATE: 20020510 COMPANY DATA: COMPANY CONFORMED NAME: MANTO GWEN K CENTRAL INDEX KEY: 0001173235 OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: STEIN MART INC STREET 2: 1200 RIVERPLACE BLVD CITY: JACKSONVILLE STATE: FL ZIP: 32207 BUSINESS PHONE: 9043462500 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STEIN MART INC CENTRAL INDEX KEY: 0000884940 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-FAMILY CLOTHING STORES [5651] IRS NUMBER: 640466198 STATE OF INCORPORATION: FL FISCAL YEAR END: 0102 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20052 FILM NUMBER: 02641542 BUSINESS ADDRESS: STREET 1: 1200 RIVERPLACE BLVD CITY: JACKSONVILLE STATE: FL ZIP: 32207 BUSINESS PHONE: 9043461500 MAIL ADDRESS: STREET 1: 1200 RIVERPLACE BLVD CITY: JACKSONVILLE STATE: FL ZIP: 32207 4 1 form4gmanto-april2002.txt FORM 4 FOR GWEN MANTO FOR APRIL 2002.
Form 4 U.S. SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL [ ] Check this box if no longer Washington, DC. 20549 ---------------------------------- subject to Section 16. Form 4 OMB Number 3235-0287 or Form 5 obligations may STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Expires September 30, 1998 continue. See Instruction 1(b). Estimated average burden hours per response ...........0.5 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) - ------------------------------- -------------------------------------------- ----------------------------------------------------- 1. Name and Address of 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Issuer of Reporting Person (Check all applicable) Manto, Gwen Stein Mart, Inc. (SMRT) Director 10% Owner - ------------------------------- -------------------------------------------- X Officer Other (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for (give title below) (specify below) Number of Reporting Month/Year 1200 Riverplace Blvd. Person (Voluntary) April 2002 Exec. V.P. & Chief Merchandising Officer - ------------------------------- ---------------- ---------------------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Filing (Check Date of Original Applicable Line) (Month/Year) X Form filed by One Reporting Person Jacksonville, FL 32207 Form filed by More than One Reporting - ------------------------------- -------------------------------------------- ---------------------------------------------------- (City) (State) (Zip) Table 1 - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired 5. Amount of 6. Ownership 7. Nature of Instr. 3) action action (A) or Disposed of Securities Form: Indirect Date Code (D) (Instr. 3, 4 and Beneficially Direct (D) Beneficial (Month/ (Instr. 8) 5) Owned at End or Indirect Ownership Day/ --------------------------------- of Month (I) (Instr. 4) Year) Code V Amount (A) or Price (Instr. 3 and 4) (Instr. 4) (D) - ------------------------------- ----------- ------ ---- ------- ------- --------- ------------------- --------------- -------------- - ------------------------------- ----------- ----- ---- ------- ------- --------- ------------------- --------------- -------------- - ------------------------------- ----------- ----- ---- ------- ------- --------- ------------------- --------------- -------------- - ------------------------------- ----------- ----- ---- ------- ------- --------- ------------------- --------------- -------------- - ------------------------------- ----------- ----- ---- ------- ------- --------- ------------------- --------------- -------------- - ------------------------------------------------------------------------------------------------------------------------------------ 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 Instrucion 4(b)(v). FORM 4 (continued) TABLE II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------------------------ 1.Title 2.Con- 3.Trans- 4.Trans- 5.Number of 6.Date Exercisable 7.Title and Amount 8.Price 9.Number 10.Owner- 11.Nature of ver- action action Derivative and Expiration of Underlying of of Deriv- ship of In- Deri- sion or Date Code Securities Date (Month/Day/ Securities Deriv- ative Form direct va- Exer- (Month/ (Instr. Acquired (A) Year) (Instr. 3 and 4) ative Secu- of De- Bene- tive cise Day/ 8) or Disposed --------- --------- -------- ---------- Secu- rities riva- ficial Secur- Price Year) of (D) Date Expir- Title Amount or rity Bene- tive Own- ity of Deri- (Instr. 3, Exer- ation Number (Instr. ficially Secur- ership (Instr vative 4 and 5) cisable Date of Shares 5) Owned ity (Instr 3) Secur- at End Direct 4) ity of Month (D) or (Instr 4) In- direct (I) ---------------------- (Instr Code V (A) (D) 4) - ------------- ------------ ------ --- ---- ----- --------- --------- -------- ---------- -------- ---------- --------- ----------- Non-Qualified $ 5.5625 03/06/03 03/06/10 Common 82,500 * 82,500 D Stock Option 5.5625 03/06/04 03/06/10 Stock 82,500 * 82,500 D (to purchase) 5.5625 03/06/05 03/06/10 $0.01 Par 85,000 * 85,000 D Value - -------------------------- ------ --- ---- ----- --------- --------- -------- ---------- -------- ---------- --------- ----------- Non-Qualified $ 7.98 08/06/04 08/06/11 Common 49,500 * 49,500 D Stock Option 7.98 08/06/05 08/06/11 Stock 49,500 * 49,500 D (to purchase) 7.98 08/06/06 08/06/11 $0.01 Par 51,000 * 51,000 D Value - -------------------------- ------ --- ---- ----- --------- --------- -------- ---------- -------- ---------- --------- ----------- Non-Qualified $ 8.90 01/29/05 01/29/12 Common 3,300 * 3,300 D Stock Option 8.90 01/29/06 01/29/12 Stock 3,300 * 3,300 D (to purchase) 8.90 01/29/07 01/29/12 $0.01 Par 3,400 * 3,400 D Value - -------------------------- ------ --- ---- ----- --------- --------- -------- ---------- -------- ---------- --------- ----------- Non-Qualified $11.10 04/08/05 04/08/12 Common 33,000 * 33,000 D Stock Option 11.10 04/08/06 04/08/12 Stock 33,000 * 33,000 D (to purchase) 11.10 04/08/07 04/08/12 $0.01 Par 34,000 * 34,000 D Value - -------------------------- ------ --- ---- ----- --------- --------- -------- ---------- -------- ---------- --------- ----------- TOTAL 510,000 - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: * Granted pursuant to Stein Mart Employee Stock Option Plan. **** Gramted pursuant to Stein Mart, Inc. 2001 Omnibus Plan. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Gwen K. Manto 5/8/02 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------- ------- **Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. 999.1430.1 Page 2 Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. SEC 1474 (7/96)
-----END PRIVACY-ENHANCED MESSAGE-----