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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (to purchase) | $ 10.5 | 08/17/2009 | A | 4,000 | 08/17/2012(1) | 08/17/2016 | Common Stock, $.01 par value | 4,000 | $ 10.5 | 4,000 | D | ||||
Non-Qualified Stock Option (to purchase) | $ 10.5 | 08/17/2009 | A | 7,500 | 08/17/2012(2) | 08/17/2016 | Common Stock, $.01 par value | 7,500 | $ 10.5 | 7,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
METTLER ROBERT L C/O STEIN MART, INC. 1200 RIVERPLACE BOULEVARD JACKSVILLE, FL 32207 |
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/s/ Robert L. Mettler | 08/19/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Granted pursuant to Stein Mart, Inc. 2001 Omnibus Plan. One third of the options vest on each of the third, fourth and fifth anniversaries of the grant date. Shares acquired on exercise of the options may not be sold until the earlier of (1) one year from the date of exercise, or (2) a change of control of the Company. |
(2) | Granted pursuant to Stein Mart, Inc. 2001 Omnibus Plan and vests 100% three years from the date of the grant. Shares acquired on exercise of the options may not be sold until the earlier of (1) one year from the date of exercise, or (2) a change of control of the Company. |