-----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, CXd2nBNUT3dZ9EuyzuktcPzYI/CcBFg+ZzHPIZreJveYG+Ekr5xt9LYAGLpyreKq P+IZNkbh0sScI6e9EuO6qQ== 0000897069-97-000082.txt : 19970222 0000897069-97-000082.hdr.sgml : 19970222 ACCESSION NUMBER: 0000897069-97-000082 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STEIN MART INC CENTRAL INDEX KEY: 0000884940 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-FAMILY CLOTHING STORES [5651] IRS NUMBER: 640466198 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43686 FILM NUMBER: 97535992 BUSINESS ADDRESS: STREET 1: 1200 RIVERPLACE BLVD CITY: JACKSONVILLE STATE: FL ZIP: 32207 BUSINESS PHONE: 9043461500 MAIL ADDRESS: STREET 1: 1200 RIVERPLACE BLVD CITY: JACKSONVILLE STATE: FL ZIP: 32207 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STEIN JAY CENTRAL INDEX KEY: 0000903240 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1200 RIVERPLACE BLVD STREET 2: 10TH FLOOR CITY: JACKSONVILLE STATE: FL ZIP: 32207 BUSINESS PHONE: 9043461500 MAIL ADDRESS: STREET 1: 1200 RIVERPLACE BLVD STREET 2: 10TH FLOOR CITY: JACKSONVILLE STATE: FL ZIP: 32207 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Stein Mart, Inc. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 858375-10-8 (CUSIP Number) Check the following box if a fee is being paid with this statement [_]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) * 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 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) Page 1 of 5 Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Jay Stein ###-##-#### 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States 5 SOLE VOTING POWER NUMBER OF 9,087,709 SHARES 6 SHARED VOTING POWER BENEFICIALLY N/A OWNED BY 7 SOLE DISPOSITIVE POWER EACH 9,087,709 REPORTING 8 SHARED DISPOSITIVE POWER PERSON WITH N/A 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9,087,709 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 39.8% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. Item 1(a). Name of Issuer: Stein Mart, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 1200 Riverplace Blvd. Jacksonville, FL 32207 Item 2(a). Name of Person Filing: Jay Stein Item 2(b). Address of Principal Business Office or, if none, Residence: 1200 Riverplace Blvd. Jacksonville, FL 32207 Item 2(c). Citizenship: United States Item 2(d). Title of Class or Securities: Common Stock, $0.01 par value Item 2(e). CUSIP Number: 858375-10-8 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d- 2(b), check whether the person filing is a: Inapplicable Item 4. Ownership as of December 31, 1996. (a) Amount Beneficially Owned: 9,087,709 shares* (b) Percent of Class: 39.8% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 9,087,709* shares (ii) shared power to vote or to direct the vote: Inapplicable (iii) sole power to dispose or to direct the disposition of: 9,087,709 (iv) shared power to dispose or to direct the disposition of: Inapplicable * Shares include 758,600 shares held by the Jay and Cynthia Stein Foundation Trust over which Jay Stein has sole voting and disposition power and 8,329,109 shares owned by a limited partnership, the general partner of which is a corporation wholly owned by Mr. Stein. Item 5. Ownership of Five Percent or Less of a Class. Inapplicable Item 6. Ownership of More than Five Percent on Behalf of Another Person. Inapplicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. Inapplicable Item 8. Identification and Classification of Members of the Group. Inapplicable Item 9. Notice of Dissolution of Group. Inapplicable Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. SIGNATURE 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. February 13, 1997 Date /s/ Jay Stein Jay Stein Chairman and Chief Executive Officer EX-99 2 ORIGINAL SCHEDULE 13-G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _____)* Stein Mart, Inc. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 858375-10-8 (CUSIP Number) Check the following box if a fee is being paid with this statement [X]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) * 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 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) Page 1 of 5 Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Jay Stein ###-##-#### 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States 5 SOLE VOTING POWER NUMBER OF 11,142,439 SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 7 SOLE DISPOSITIVE POWER EACH 11,142,439 REPORTING 8 SHARED DISPOSITIVE POWER PERSON WITH 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,142,439 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 74.3% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. Item 1(a). Name of Issuer: Stein Mart, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 1200 Gulf Life Dr. Jacksonville, FL 32207 Item 2(a). Name of Person Filing: Jay Stein Item 2(b). Address of Principal Business Office or, if none, Residence: 1200 Gulf Life Dr. Jacksonville, FL 32207 Item 2(c). Citizenship: United States Item 2(d). Title of Class or Securities: Common Stock, $0.01 par value Item 2(e). CUSIP Number: 858375-10-8 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d- 2(b), check whether the person filing is a: Inapplicable Item 4. Ownership as of December 31, 1996. (a) Amount Beneficially Owned: 11,142,439 shares* (b) Percent of Class: 74.3% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 11,142,439* shares (ii) shared power to vote or to direct the vote: Inapplicable (iii) sole power to dispose or to direct the disposition of: 11,142,439 (iv) shared power to dispose or to direct the disposition of: Inapplicable * Shares include 150,000 shares of the Jay and Cynthia Stein Foundation Trust over which Jay Stein has sole voting and disposition power. Item 5. Ownership of Five Percent or Less of a Class. Inapplicable Item 6. Ownership of More than Five Percent on Behalf of Another Person. Inapplicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. Inapplicable Item 8. Identification and Classification of Members of the Group. Inapplicable Item 9. Notice of Dissolution of Group. Inapplicable Item 10. Certification. 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. February 3, 1993 Date /s/ Jay Stein Jay Stein Chairman and Chief Executive Officer -----END PRIVACY-ENHANCED MESSAGE-----