SEC Form 4 · accession 0001590503-16-000145
STEIN MART INC · SMRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jay Stein
Officer — Chairman · Director · 10% Owner
Period of report
Nov 21, 2016
Accepted (ET)
Nov 23, 2016 · 11:02 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 | Nov 21, 2016 | G | 250,000 | $0.00 | D | 674,799 | D | |
| Common Stock | Nov 21, 2016 | G | 250,000 | $0.00 | A | 250,000 | I | By trust for benefit of family |
| Common Stock | holding | — | — | — | 10,659,735 | I | Stein Ventures Limited Partnership | |
| Common StockF2 | holding | — | — | — | 42,800 | I | Cary Ventures, Inc. | |
| Common Stock | holding | — | — | — | 1,273,694 | I | By trust for benefit of family | |
| Common Stock | holding | — | — | — | 773,694 | I | By trust for benefit of family | |
| Common Stock | holding | — | — | — | 731,600 | I | By trust for benefit of family |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 250,000 shares previously held through Stein Ventures Limited Partnership which were distributed to the reporting person on November 14, 2016 and are now owned directly.
- F2Includes 2,525 shares previously held through Stein Ventures Limited Partnership which were distributed to Cary Ventures, Inc. on November 14, 2016.