-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, VLnWakrCWOef9onmAXU+KzHeGx559iQ3oz1Z1ypyb+v+xuKTH/sYWPkG29jVnD24 ipOgzS1Atu7CXeqlGEDeUA== 0000950138-04-000032.txt : 20040120 0000950138-04-000032.hdr.sgml : 20040119 20040120170529 ACCESSION NUMBER: 0000950138-04-000032 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040120 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SYMS CORP CENTRAL INDEX KEY: 0000724742 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-FAMILY CLOTHING STORES [5651] IRS NUMBER: 222465228 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0301 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39363 FILM NUMBER: 04533142 BUSINESS ADDRESS: STREET 1: SYMS WAY CITY: SECAUCUS STATE: NJ ZIP: 07094 BUSINESS PHONE: 2019029600 MAIL ADDRESS: STREET 1: SYMS WAY CITY: SECAUCUS STATE: NJ ZIP: 07094 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SYMS MARCY CENTRAL INDEX KEY: 0001090479 STATE OF INCORPORATION: NJ FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1 SYMS WAY CITY: SECAUCUS STATE: NJ ZIP: 07094 BUSINESS PHONE: 2019029600 MAIL ADDRESS: STREET 1: 1 SYMS WAY CITY: SECAUCUS STATE: NJ ZIP: 07094 SC 13D/A 1 marcysyms_jan-13da.txt \SYMS\2004FILINGS\MARCYSYMSJAN13DA SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN THE STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 4)* Syms Corp ---------- (Name of Issuer) Common Stock, par value $0.05 per share -------------------------------------- (Title of Class of Securities) 871551107 --------- (CUSIP Number) Marcy Syms c/o Syms Corp Syms Way Seacaucus, New Jersey 07094 (201) 902-9600 -------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 5, 2004 ----------------- (Date of event which requires filing of this statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ] * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (the "Exchange Act") or otherwise subject to the liabilities of that section of the Exchange Act but shall be subject to all other provisions of the Exchange Act (however, see the Notes). SCHEDULE 13D CUSIP NO. 871551107 Page 2 of 5 _____________________________________________________________________________ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only) Marcy Syms _____________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] _____________________________________________________________________________ 3 SEC USE ONLY _____________________________________________________________________________ 4 SOURCE OF FUNDS Not applicable _____________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] _____________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States _____________________________________________________________________________ NUMBER OF 7 SOLE VOTING POWER SHARES 2,280,463 ______________________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY None ______________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING 2,280,463 ______________________________________________________________ PERSON 10 SHARED DISPOSITIVE POWER WITH None _____________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,280,463 _____________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] _____________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 14.6% _____________________________________________________________________________ 14 TYPE OF REPORTING PERSON IN _____________________________________________________________________________ SCHEDULE 13D CUSIP NO. 871551107 Page 3 of 5 Item 1 Security and Issuer. ------------------- This statement constitutes Amendment No. 4 ("Amendment No. 4") to the Statement on Schedule 13D (the "Schedule 13D") filed with the Securities and Exchange Commission by Marcy Syms in connection with her ownership of the Common Stock, $0.05 par value per share (the "Common Stock"), of Syms Corp, a New Jersey corporation (the "Company"), with its principal executive offices at Syms Way, Secaucus, New Jersey 07094. In accordance with Exchange Act Rule 13d-2, this Amendment No. 4 amends and supplements only information that has materially changed since the March 10, 2003 filing by Marcy Syms of Amendment No. 3 to the Schedule 13D. Unless otherwise indicated herein, terms used but not otherwise defined in this Amendment No. 4 shall have the same respective meanings herein as are ascribed to such terms in the Schedule 13D. Item 4. Purpose of Transaction. ---------------------- Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following: On October 2, 2003, Ms. Syms sold 150,000 shares of the Company's Common Stock for an aggregate purchase price of $937,600 in sales consummated in accordance with Rule 144 of the Securities Act of 1933 (the "Act"). On January 5, 2004, Ms. Syms sold 50,000 shares of the Company's Common Stock for an aggregate purchase price of $350,022 in sales consummated in accordance with Rule 144 of the Act. On January 6, 2004, Ms. Syms sold an aggregate of 89,400 shares of the Company's Common Stock for an aggregate purchase price of $625,802 in sales consummated in accordance with Rule 144 of the Act. Item 5. Interest in Securities of the Issuer. ------------------------------------ Item 5 of the Schedule 13D is hereby amended and supplemented by adding the following: 5(a) Based on 15,127,278 shares of the Company's Common Stock outstanding as of December 31, 2003 (as set forth in the Company's Quarterly Report on Form 10-Q for the quarterly period ended November 29, 2003 filed on January 9, 2004), Ms. Syms beneficially owns 2,280,463 shares of the Company's Common Stock representing 14.6% of the issued and outstanding shares of the Company's Common Stock, of which 537,500 shares of Common Stock are issuable upon the exercise of options which are currently exercisable. 5(b) Of such 2,280,463 shares of Common Stock, (i) Ms. Syms is the direct beneficial owner of 1,592,675 shares of Common Stock (which amount includes her options to purchase 537,500 shares of Common Stock) over which she has the sole voting and dispositive power, and (ii) 687,788 shares are held by the Laura Merns Living Trust, dated February 14, 2003, between Laura Merns, as settlor, and Marcy Syms, as trustee, of which Ms. Syms is an indirect beneficial owner, and as the sole trustee thereunder, has the sole voting and dispositive power over such Common Stock held by the Trust. SCHEDULE 13D CUSIP NO. 871551107 Page 4 of 5 5(c) Other than as described in this Amendment No. 4, Ms. Syms has not effected any transactions in the shares of the Company's Common Stock during the past 60 days. 5(d) Not applicable. 5(e) Not applicable. SCHEDULE 13D CUSIP NO. 871551107 Page 5 of 5 Signatures ---------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. /s/ Marcy Syms --------------------------- Marcy Syms Dated: January 20, 2004 -----END PRIVACY-ENHANCED MESSAGE-----