-----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, IUPokYn85rk0tAqU49TqcX0kSRixFYZRpYcZYugc3DQ7s9NfvYF8zQTGzt+BXIv7 ul8vf/QRmEY7Hihrhj36qg== 0000950123-01-509128.txt : 20020412 0000950123-01-509128.hdr.sgml : 20020412 ACCESSION NUMBER: 0000950123-01-509128 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011130 FILED AS OF DATE: 20011210 COMPANY DATA: COMPANY CONFORMED NAME: MANDELL STEVEN CENTRAL INDEX KEY: 0001031490 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 400 COMMONS WAY BLDG C CITY: ROCKAWAY STATE: NJ ZIP: 07886 BUSINESS PHONE: 2019830888 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PARTY CITY CORP CENTRAL INDEX KEY: 0001005972 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] IRS NUMBER: 223033692 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27826 FILM NUMBER: 1810380 BUSINESS ADDRESS: STREET 1: 450 COMMONS WAY STREET 2: BLDG C CITY: ROCKAWAY STATE: NJ ZIP: 07860 BUSINESS PHONE: 9739830888 MAIL ADDRESS: STREET 1: 400 COMMONS WAY CITY: ROCKAWAY STATE: NJ ZIP: 07866 4 1 y55664e4.txt PARTY CITY CORPORATION ----------------------------- OMB APPROVAL ----------------------------- OMB NUMBER 3235-0287 EXPIRES: FEBRUARY 1, 2001 ESTIMATED AVERAGE BURDEN HOURS PER RESPONSE........0.5 ----------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP FILED PURSUANT TO SECTION 16(a) OF THE SECURITIES EXCHANGE ACT OF 1934, SECTION 17(a) OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 OR SECTION 30(1) OF THE INVESTMENT COMPANY ACT OF 1940 [_] CHECK THIS BOX IF NO LONGER SUBJECT TO SECTION 16. FORM 4 OR FORM 5 OBLIGATIONS MAY CONTINUE. SEE INSTRUCTION 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person Mandell Steven - -------------------------------------------------------------------------------- (Last) (First) (Middle) P.O. Box 85 - -------------------------------------------------------------------------------- (Street) New Vernon New Jersey 07976 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Party City Corporation Symbol: PCTY ________________________________________________________________________________ 3. IRS or Social Security Number of Reporting Person (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year 11/01 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ ================================================================================ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Code ------------------------------- Owned at End (D) or Indirect 1. Date (Instr. 8) (A) of Month Indirect Beneficial Title of Security (Month/Day/ ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ $6.3047 COMMON STOCK 11/08/01 S 35,800 D per share 1,840,978*+ D - ------------------------------------------------------------------------------------------------------------------------------------ $6.3372 COMMON STOCK 11/09/01 S 24,200 D per share 1,840,978*+ D - ------------------------------------------------------------------------------------------------------------------------------------ $6.5083 COMMON STOCK 11/13/01 S 22,900 D per share 1,840,978*+ D - ------------------------------------------------------------------------------------------------------------------------------------ $6.50 COMMON STOCK 11/14/01 S 27,000 D per share 1,840,978*+ D - ------------------------------------------------------------------------------------------------------------------------------------ $6.5058 COMMON STOCK 11/15/01 S 17,100 D per share 1,840,978*+ D - ------------------------------------------------------------------------------------------------------------------------------------ $7.45 By Mandell Family COMMON STOCK 11/29/01 S 41,000 D per share 1,840,978*+ I Limited Partnership - ------------------------------------------------------------------------------------------------------------------------------------ $7.45 By Mandell Family COMMON STOCK 11/30/01 S 21,300 D per share 1,840,978*+ I Limited Partnership ====================================================================================================================================
REMINDER: REPORT ON A SEPARATE LINE FOR EACH CLASS OF SECURITIES BENEFICIALLY OWNED DIRECTLY OR INDIRECTLY. (PRINT OR TYPE RESPONSES) (OVER) FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
EXPLANATION OF RESPONSES: + This amount reflects 700,000 shares remaining unexercised under an option agreement between Steven Mandell and Jack Futterman, dated June 8, 1999. Mr. Futterman exercised a portion of the option for 300,000 shares at $3.00 per share in September, 2001. * This amount also reflects shares held by the Mandell Family Limited Partnership. By: /s/ Steven Mandell December 10, 2001 ------------------------------------------ ----------------------- Steven Mandell SIGNATURE OF REPORTING PERSON INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). NOTE: FILE THREE COPIES OF THIS FORM, ONE OF WHICH MUST BE MANUALLY SIGNED. IF SPACE PROVIDED IS INSUFFICIENT, SEE INSTRUCTION 6 FOR PROCEDURE. -----END PRIVACY-ENHANCED MESSAGE-----