STEIN MART INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-08-25: Reporting owner Kleffner Gregory W; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-08-25: Reporting owner Kleffner Gregory W; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-08-24: Reporting owner Kleffner Gregory W; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-08-24: Reporting owner Kleffner Gregory W; Form 4; Security Employee Stock Option (right to buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-08-25 | Kleffner Gregory W Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100 48,630 owned after | $5.48 exercise price | 2016-08-26 | |
| 2016-08-25 | Kleffner Gregory W Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −400 161,766 owned after | $4.93 exercise price | 2016-08-26 | |
| 2016-08-24 | Kleffner Gregory W Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100 48,730 owned after | $5.48 exercise price | 2016-08-26 | |
| 2016-08-24 | Kleffner Gregory W Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −600 162,166 owned after | $4.93 exercise price | 2016-08-26 | |
| 2016-06-21 | COLE THOMAS L Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $7.56 exercise price | 2016-06-22 | |
| 2016-06-21 | COST TIMOTHY Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $7.56 exercise price | 2016-06-22 | |
| 2016-03-14 | Robertson Dawn Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +800,000 800,000 owned after | $7.35 exercise price | 2016-03-16 | |
| 2016-03-14 | Kleffner Gregory W Officer (Executive VP and CFO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $7.35 exercise price | 2016-03-16 | |
| 2016-03-14 | HAWKINS D HUNT Officer (President and COO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $7.35 exercise price | 2016-03-16 | |
| 2016-03-14 | Pierce Gary L. Officer (EVP, Director of Stores) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $7.35 exercise price | 2016-03-16 | |
| 2016-03-14 | Galanti Lisa Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $7.35 exercise price | 2016-03-16 | |
| 2016-01-15 | COHEN IRWIN Director | 4 | Director Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,208 0 owned after | $1.04 exercise price | 2016-01-19 | |
| 2016-01-13 | SISISKY RICHARD L Director | 4 | Director Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,208 0 owned after | $1.04 exercise price | 2016-01-14 |