STEIN MART INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-04-14: Reporting owner FARTHING MCFARLAND LINDA; Form 4; Security Non-Qualified Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-04-14: Reporting owner HAWKINS D HUNT; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-04-12: Reporting owner WILLIAMS JOHN H JR; Form 4; Security Non-Qualified Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-04-11: Reporting owner WILLIAMS JOHN H JR; Form 4; Security Non-Qualified Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-04-14 | FARTHING MCFARLAND LINDA Director | 4 | Non-Qualified Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 170,000 owned after | $7.70 | 2011-04-18 | |
| 2011-04-14 | HAWKINS D HUNT Officer (EVP and Chief Admin. Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $8.29 | 2011-04-15 | |
| 2011-04-12 | WILLIAMS JOHN H JR Director, Officer (Vice Chairman) | 4 | Non-Qualified Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,290 0 owned after | $7.45 | 2011-04-14 | |
| 2011-04-11 | WILLIAMS JOHN H JR Director, Officer (Vice Chairman) | 4 | Non-Qualified Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −69,810 7,290 owned after | $7.45 | 2011-04-13 | |
| 2011-03-25 | WILLIAMS JOHN H JR Director, Officer (Vice Chairman) | 4 | Non-Qualified Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +20,000 77,100 owned after | $7.45 | 2011-03-28 | |
| 2011-03-24 | WILLIAMS JOHN H JR Director, Officer (Vice Chairman) | 4 | Non-Qualified Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,900 97,100 owned after | $7.45 | 2011-03-28 | |
| 2011-03-24 | FARTHING MCFARLAND LINDA Director | 4 | Non-Qualified Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +10,044 185,000 owned after | $7.70 exercise price | 2011-03-25 | |
| 2011-03-23 | FARTHING MCFARLAND LINDA Director | 4 | Non-Qualified Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,956 195,044 owned after | $7.70 exercise price | 2011-03-25 |