SEC Form 4 · accession 0001590503-18-000021
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
May 14, 2018
Accepted (ET)
May 22, 2018 · 9:55 am 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 14, 2018 | G | 918,835 | $0.00 | A | 1,593,634 | D | |
| Common StockF1 | May 14, 2018 | G | 918,835 | $0.00 | D | 3,581,165 | I | By Berry Hattie Stein Grantor Retained Annuity Trust |
| Common StockF1 | May 14, 2018 | G | 918,835 | $0.00 | A | 2,512,469 | D | |
| Common StockF1 | May 14, 2018 | G | 918,835 | $0.00 | D | 3,581,165 | I | By Jay Meredith Stein Grantor Retained Annuity Trust |
| Common Stock | holding | — | — | — | 2,468,826 | I | By Stein Ventures Limited Partnership | |
| Common Stock | holding | — | — | — | 133,709 | 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 | |
| Common Stock | holding | — | — | — | 250,000 | I | By trust for benefit of family |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Annuity payments made in the form of shares of common stock by the Berry Hattie Stein Grantor Retained Annuity Trust and the Jay Meredith Stein Grantor Retained Annuity Trust to the sole annuitant, Jay Stein.