SEC Form 4 · accession 0000006885-16-000344
STAGE STORES INC · SSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Russ Lundy II
Officer — EVP, Chief Stores Officer
Period of report
Jan 28, 2013
Accepted (ET)
Feb 10, 2016 · 7:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000006885
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 9, 2016 | A | 39 | $7.2089 | A | 49,131 | D | |
| Common StockF2,F3 | holding | — | — | — | 1,121 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF4,F3 | $15.50 | holding | — | — | — | Mar 26, 2011 | Mar 26, 2017 | Common Stock | 1,000 | 1,000 | I |
| Stock Appreciation RightsF5,F3 | $18.84 | holding | — | — | — | Mar 29, 2012 | Mar 29, 2018 | Common Stock | 1,000 | 1,000 | I |
Explanation of responses
- F1These shares were acquired pursuant to the Stage Stores, Inc. Nonqualified Deferred Compensation Plan.
- F2On January 28, 2013, Mr. Lundy became a reporting person. The amount reported reflects shares of common stock of the issuer owned by the reporting person's spouse on January 28, 2013, plus his spouse's subsequent acquisitions of common stock on April 4, 2013, April 3, 2014, June 18, 2014, September 17, 2014, December 18, 2014, March 19, 2015, March 26, 2015, June 18, 2015, September 17, 2015 and December 17, 2015, less his spouse's dispositions to satisfy tax withholding obligations on March 28, 2014, April 4, 2014, March 28, 2015, April 3, 2015 and April 4, 2015. Each such disposition was a surrender of common shares to satisfy withholding tax obligations and is exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 166-3(e).
- F3The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- F4On March 26, 2010, the reporting person's spouse was granted Stock Appreciation Rights (SARs) with respect to a total of 1,000 shares of common stock. The SARs vested 25% per year on the first four anniversary dates from the date of grant and will expire on the earlier of (i) sixty days after termination of employment (one year if termination is due to death, disability or retirement), or (ii) seven years from the date of grant.
- F5On March 29, 2011, the reporting person's spouse was granted SARs with respect to a total of 1,000 shares of common stock. The SARs vested 25% per year on the first four anniversary dates from the date of grant and will expire on the earlier of (i) sixty days after termination of employment (one year if termination is due to death, disability or retirement), or (ii) seven years from the date of grant.