SEC Form 4 · accession 0000899243-16-011863
STEIN MART INC · SMRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jay Stein
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Jan 14, 2016
Accepted (ET)
Jan 19, 2016 · 10:48 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000884940
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 14, 2016 | P | 45,000 | $6.4813 | A | 656,799 | D | |
| Common StockF2 | Jan 15, 2016 | P | 18,000 | $6.3014 | A | 674,799 | D | |
| Common Stock | holding | — | — | — | 731,600 | I | By trust for benefit of spouse | |
| Common Stock | holding | — | — | — | 10,912,260 | I | Stein Ventures Limited Partnership | |
| Common Stock | holding | — | — | — | 40,275 | I | Cary Ventures, Inc. | |
| Common Stock | holding | — | — | — | 1,273,694 | I | By trust for benefit of daughter | |
| Common Stock | holding | — | — | — | 773,694 | I | By trust for benefit of daughter |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.43 to $6.50, inclusive. The reporting person undertakes to provide to Stein Mart, Inc., any security holder of Stein Mart, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4.
- F2The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $6.26 to $6.44, inclusive.