STEIN MART INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-09-10: Reporting owner FALK SUSAN; Form 4; Security Non-Qualified Stock Option (to purchase); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-09-10: Reporting owner Alexander Ralph; Form 4; Security Non-Qualified Stock Option (to purchase); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-08-27: Reporting owner FARTHING MCFARLAND LINDA; Form 4; Security Non-Qualified Stock Option (to purchase); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-03-02: Reporting owner ROBERSON CLAYTON E JR; Form 4; Security Non-Qualified Stock Option (to purchase); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-09-10 | FALK SUSAN Director | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $8.89 exercise price | 2007-09-11 | |
| 2007-09-10 | Alexander Ralph Director | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $8.89 exercise price | 2007-09-11 | |
| 2007-08-27 | FARTHING MCFARLAND LINDA Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $8.56 exercise price | 2007-08-29 | |
| 2007-03-02 | ROBERSON CLAYTON E JR Officer (Vice President, Controller) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $14.53 exercise price | 2007-03-06 | |
| 2007-03-02 | DELFS JAMES G Officer (SVP, CFO) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,600 23,600 owned after | $14.53 exercise price | 2007-03-06 | |
| 2007-03-02 | RAY MICHAEL D Officer (SVP, Stores) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,100 21,100 owned after | $14.53 exercise price | 2007-03-06 | |
| 2007-03-02 | MOLL WILLIAM A Officer (EVP & Chief Merchandising Off.) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,600 35,600 owned after | $14.53 exercise price | 2007-03-06 | |
| 2007-03-02 | HAWKINS D HUNT Officer (SVP, Human Resources) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,400 28,400 owned after | $14.53 exercise price | 2007-03-06 | |
| 2007-03-02 | FISHER MICHAEL D Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,400 96,400 owned after | $14.53 exercise price | 2007-03-06 | |
| 2007-02-26 | RAY MICHAEL D Officer (SVP, Stores) | 4 | Non-qualified Stock Option (to purchase) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,364 31,115 owned after | $13.81 exercise price | 2007-02-28 | |
| 2007-02-26 | DELFS JAMES G Officer (SVP, CFO) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,636 82,979 owned after | $13.81 exercise price | 2007-02-28 | |
| 2007-02-20 | RAY MICHAEL D Officer (SVP, Stores) | 4 | Non-qualified Stock Option (to purchase) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,021 32,479 owned after | $13.81 exercise price | 2007-02-22 | |
| 2007-02-20 | DELFS JAMES G Officer (SVP, CFO) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,385 86,615 owned after | $13.81 exercise price | 2007-02-22 | |
| 2007-02-15 | HAWKINS D HUNT Officer (Executive VP, Operations) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,487 0 owned after | $13.81 exercise price | 2007-02-15 | |
| 2007-02-15 | FISHER MICHAEL D Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,163 100,000 owned after | $13.81 exercise price | 2007-02-15 | |
| 2007-02-14 | HAWKINS D HUNT Officer (Executive VP, Operations) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,586 8,487 owned after | $13.81 exercise price | 2007-02-15 | |
| 2007-02-14 | FISHER MICHAEL D Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −39,370 112,163 owned after | $13.81 exercise price | 2007-02-15 | |
| 2007-02-13 | HAWKINS D HUNT Officer (Executive VP, Operations) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,927 36,073 owned after | $13.81 exercise price | 2007-02-15 | |
| 2007-02-13 | FISHER MICHAEL D Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option (to purchase) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −48,467 151,533 owned after | $13.81 exercise price | 2007-02-15 |