Filing Details
- Accession Number:
- 0001590503-16-000102
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-26 12:27:51
- Reporting Period:
- 2016-08-24
- Filing Date:
- 2016-08-26
- Accepted Time:
- 2016-08-26 12:27:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 884940 | Stein Mart Inc | SMRT | Retail-Family Clothing Stores (5651) | 640466198 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1328734 | W Gregory Kleffner | C/O Stein Mart, Inc. 1200 Riverplace Boulevard Jacksonville FL 32207 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-08-24 | 100 | $5.48 | 248,688 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-08-24 | 600 | $4.93 | 249,288 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-24 | 900 | $8.50 | 248,388 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-24 | 100 | $8.51 | 248,288 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-25 | 100 | $5.48 | 248,388 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-08-25 | 400 | $4.93 | 248,788 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-25 | 700 | $8.50 | 251,247 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2016-08-24 | 100 | $0.00 | 100 | $5.48 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2016-08-24 | 600 | $0.00 | 600 | $4.93 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2016-08-25 | 100 | $0.00 | 100 | $5.48 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2016-08-25 | 400 | $0.00 | 400 | $4.93 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 48,730 | 2019-07-31 | No | 4 | M | Direct | |
| 162,166 | 2022-08-08 | No | 4 | M | Direct | |
| 48,630 | 2019-07-31 | No | 4 | M | Direct | |
| 161,766 | 2022-08-08 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2016.
- Includes 3,158.32 shares acquired under the SMRT employee stock purchase plan in June 2016.
- Option grant vested 33% on 07/31/12, 33% on 07/31/13 and 34% on 07/31/14.
- Option grant vests 33% on 08/08/15, 33% on 08/08/16 and 34% on 08/08/17.
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