4 1 form4hapstein-april02.txt FORM 4 FOR MARTIN E. STEIN DATED APRIL 12, 2002. ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response ....... 0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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(h) of the Investment Company Act of 1940 [_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* Stein, Jr. Martin E. -------------------------------------------------------------------------------- (Last) (First) (Middle) 121 West Forsyth Street, Suite 200 -------------------------------------------------------------------------------- (Street) Jacksonville, FL 32202 -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Stein Mart, Inc. SMRT ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Day/Year 04/12/02 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Day/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [_] 10% Owner [_] Officer (give title below) [_] Other (specify below) ------------------------------------ ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by one Reporting Person [_] Form filed by more than one Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
5. Amount of Securities 6. 4. Beneficially Owner- Securities Acquired (A) or Owned ship 2A. 3. Disposed of (D) Following Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Reported Direct Nature of Trans- Execution Code ------------------------------- Trans- (D) or Indirect 1. action Date, (Instr. 8) (A) action(s) Indirect Beneficial Title of Security Date if any ------------ or (Instr. (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price 3 & 4) (Instr.4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $0.01 Par Value 04/12/02 P 3,900 A $10.95 D ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, $0.01 Par Value 04/12/02 P 100 A $10.94 10,000 D ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, $0.01 Par Value 3,600 I Note 1 ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, $0.01 Par Value 3,600 I Note 2 ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, $0.01 Par Value 600 I Note 3 ----------------------------------------------------------------------------------------------------------------------------------- Total 17,800 ----------------------------------------------------------------------------------------------------------------------------------- ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. 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 control number. (Over) (SEC 1474(09/02) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Deriv- Form 2. ative Conver- 5. 7. Secur- Deriv- 11. sion Number of Title and Amount ities ative Nature or 3A. Derivative 6. of Underlying 8. Bene- Secur- of Exer- Deemed 4. Securities Date Securities Price ficially ity: In- cise 3. Execu- Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Owned Direct direct Price Trans- tion action or Disposed Expiration Date ---------------- Deriv- Following (D) or Bene- 1. of action Date, Code of(D) (Month/Day/Year) Amount ative Reported In- ficial Title of Deriv- Date if any (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner- Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity action(s) (I) ship Security Secur- Day/ Day/ ------ ------------ Exer- tion of (Instr (Instr. (Instr. (Instr. (Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Common Stock Option Stock (to purchase) 11/06/03 11/06/10 $.01PV 1,320 1,320 D ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Common Stock Option Stock (to purchase) 11/06/04 11/06/10 $.01PV 1,320 1,320 D ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Common Stock Option Stock (to purchase) 11/06/05 11/06/10 $.01PV 1,360 1,360 D ------------------------------------------------------------------------------------------------------------------------------------ Total 4,000 ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: Note 1: By Self as Custodian for Kelly B. Stein under the Fla. Gift to Minors Act. Note 2: By Self as Custodian for Kimberly P. Stein under the Fla. Gift to Minors Act. Note 3: By Self as Custodian for Ashley W. Stein under the Fl. Gift to Minors Act. *Granted pursuant to Stein Mart, Inc. Director Stock Option Plan. /s/ Martin E. Stein, Jr. April 8, 2003 --------------------------------------------- ----------------------- _______________________ Date ** 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 provided is insufficient, see Instruction 6 for procedure. Page 2