0000899243-18-030013.txt : 20181204 0000899243-18-030013.hdr.sgml : 20181204 20181204125739 ACCESSION NUMBER: 0000899243-18-030013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181130 FILED AS OF DATE: 20181204 DATE AS OF CHANGE: 20181204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STEIN JAY CENTRAL INDEX KEY: 0000903240 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20052 FILM NUMBER: 181216014 MAIL ADDRESS: STREET 1: 1200 RIVERPLACE BLVD STREET 2: 10TH FLOOR CITY: JACKSONVILLE STATE: FL ZIP: 32207 ISSUER: 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: 0131 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-11-30 0 0000884940 STEIN MART INC SMRT 0000903240 STEIN JAY STEIN MART, INC. 1200 RIVERPLACE BOULEVARD, 10TH FLOOR JACKSONVILLE FL 32207 1 1 1 0 Chairman Common Stock 2018-11-30 4 J 0 4500000 1.37 D 0 I By Berry Hattie Stein 2018 Grantor Retained Annuity Trust Common Stock 2018-11-30 4 J 0 4500000 1.37 A 5174799 D Common Stock 2018-11-30 4 J 0 4500000 1.37 D 0 I By Jay Meredith Stein 2018 Grantor Retained Annuity Trust Common Stock 2018-11-30 4 J 0 4500000 1.37 A 9674799 D Common Stock 2018-12-03 5 G 0 E 4500000 0.00 D 5174799 D Common Stock 2018-12-03 5 G 0 E 4500000 0.00 A 4500000 I By Berry Hattie Stein 2018 Grantor Retained Annuity Trust II Common Stock 2018-12-03 5 G 0 E 4500000 0.00 D 674799 D Common Stock 2018-12-03 5 G 0 E 4500000 0.00 A 4500000 I By Jay Meredith Stein 2018 Grantor Retained Annuity Trust II Common Stock 2468826 I Stein Ventures Limited Partnership Common Stock 133709 I Cary Ventures, Inc. Common Stock 1273694 I By trust for benefit of family Common Stock 773694 I By trust for benefit of family Common Stock 731600 I By trust for benefit of family Common Stock 250000 I By trust for benefit of family In accordance with the provisions of each of the Berry Hattie Stein 2018 Grantor Retained Annuity Trust and the Jay Meredith Stein 2018 Grantor Retained Annuity Trust (together, the "GRATs"), Jay Stein elected to substitute certain assets for 4,500,000 shares of common stock of Stein Mart, Inc. from each of the GRATs (the "Substitutions"). The Substitutions may be deemed to be purchases. The purchase price reflects the average of the high and low price of the shares of common stock of Stein Mart, Inc. on the date of the Substitutions in accordance with the terms of the GRATs. /s/ Jay Stein 2018-12-04