SEC Form 4 · accession 0001590503-16-000102

STEIN MART INC · SMRT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Financial Officer

Period of report

Aug 24, 2016

Accepted (ET)

Aug 26, 2016 · 12:27 pm EDT

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
Common Stock	Aug 24, 2016	M	100	$5.48	A	248,688	D
Common Stock	Aug 24, 2016	M	600	$4.93	A	249,288	D
Common Stock	Aug 24, 2016	S	900	$8.50	D	248,388	D
Common Stock	Aug 24, 2016	S	100	$8.51	D	248,288	D
Common Stock	Aug 25, 2016	M	100	$5.48	A	248,388	D
Common Stock	Aug 25, 2016	M	400	$4.93	A	248,788	D
Common Stock^F2	Aug 25, 2016	S	700	$8.50	D	251,247	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F3	$5.48	Aug 24, 2016	M	100	D	—	Jul 31, 2019	Common Stock	100	48,730	D
Employee Stock Option (right to buy)^F4	$4.93	Aug 24, 2016	M	600	D	—	Aug 8, 2022	Common Stock	600	162,166	D
Employee Stock Option (right to buy)^F3	$5.48	Aug 25, 2016	M	100	D	—	Jul 31, 2019	Common Stock	100	48,630	D
Employee Stock Option (right to buy)^F4	$4.93	Aug 25, 2016	M	400	D	—	Aug 8, 2022	Common Stock	400	161,766	D

F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2016.
F2Includes 3,158.32 shares acquired under the SMRT employee stock purchase plan in June 2016.
F3Option grant vested 33% on 07/31/12, 33% on 07/31/13 and 34% on 07/31/14.
F4Option grant vests 33% on 08/08/15, 33% on 08/08/16 and 34% on 08/08/17.