-----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, HzyJy4za76ozJTiOdxo/2dBIXKAJxgouN+By+VmDqrQNva2xck3p/+Snlv90S0cE jvwacovuRWwKlcD4m/4RhQ== 0000950144-98-002877.txt : 19980318 0000950144-98-002877.hdr.sgml : 19980318 ACCESSION NUMBER: 0000950144-98-002877 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980131 FILED AS OF DATE: 19980317 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BOOKS A MILLION INC CENTRAL INDEX KEY: 0000891919 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] IRS NUMBER: 630798460 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-20664 FILM NUMBER: 98567638 BUSINESS ADDRESS: STREET 1: 402 INDUSTRIAL LN CITY: BIRMINGHAM STATE: AL ZIP: 35211 BUSINESS PHONE: 2059423737 MAIL ADDRESS: STREET 1: 402 INDUSTRIAL LANE CITY: BIRMINGHAM STATE: AL ZIP: 35211 COMPANY DATA: COMPANY CONFORMED NAME: BURDETTE LEW R CENTRAL INDEX KEY: 0001056608 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 402 INDUSTRIAL LN CITY: BIRMINGHAM STATE: AL ZIP: 35211 BUSINESS PHONE: 2059423737 MAIL ADDRESS: STREET 1: 402 INDUSTRIAL LANE CITY: BIRMINGHAM STATE: AL ZIP: 35211 5 1 BOOKS-A-MILLION, INC. - R. LEW BURDETTE 1
- ------ --------------------------- FORM 5 OMB APPROVAL - ------ OMB NUMBER: 3235-0362 Expires: September 30, 1998 Estimated average burden / / Check this box if no U.S. SECURITIES AND EXCHANGE COMMISSION hours per response......1.0 longer subject to WASHINGTON, DC 20549 --------------------------- Section 16. Form 4 or Form 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP obligations may continue. See Filed pursuant to Section 16(a) of the Securities Instruction 1(b) Exchange Act of 1934, / / Form 3 Holdings Section 17(a) of the Public Utility Reported Holding Company Act of 1935 or Section 30(f) of / / Form 4 the Investment Company Act Transactions of 1940 Reported - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name AND Ticker or Trading Symbol 6. Relationship of Reporting Person(s) Burdette, R. Lew Books-A-Million, Inc. (BAMM) to Issuer (Check all applicable) - ------------------------------------------- ---------------------------------------------- Director 10% Owner (Last) (First) (Middle) 3. IRS Identification 4. Statement for ---- --- Books-A-Million, Inc., 402 Industrial Lane Number of Reporting Month/Year X Officer (give Other (specify - ------------------------------------------- Person, (Voluntary) January 1998 ---- title --- below) (Street) ------------------- below) Birmingham, Alabama 35211 5. If Amendment, President of American Wholesale Book - ------------------------------------------- Date of Original Company, Inc., a wholly-owned (City) (State) (Zip) (Month/Year) subsidiary of the Company ------------------------------------- ------------------ 7. Individual or Joint/Group Reporting (check applicable line) X Form Filed by One ---- Reporting Person Form Filed by More than ---- One Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. End of Issuer's Direct Benefi- (Month/ 8) Fiscal Year (D) or cial Day/ ---------------------------- (Instr. 3 and 4) Indirect Owner- Year) Amount (A) or (D) Price (I) ship (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.01 par value (1) (1) 22,905 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.01 par value (1) (1) 398 I (2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.01 par value (1) (1) 398 I (3) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.01 par value (1) (1) 400 I (4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.01 par value (1) (1) 723 D ------ - ------------------------------------------------------------------------------------------------------------------------------------ 24,824 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ *If the form is filed by more than one reporting person, see instruction 4(b)(v). (Over) SEC 2270 (9-96) (Print or Type Responses)
2
FORM 5 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Expiration Securities Deriv- Price of (Month/ (Instr. Acquired (A) Date (Instr. 3 and 4) ative Deriv- Day/ 8) or Disposed (Month/Day/ Secur- ative Year) of (D) Year) ity Security (Instr. 3, (Instr. 5) 4, and 5) ----------------------------------- Date Expira- Amount or --------------- Exer- tion Title Number of (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $5.875 1/30/98 A 50,000 (5) 1/30/04 Common 50,000 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $5.75 (1) (1) (1) 1/24/03 Common 50,000 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $8.00 (1) (1) (1) 1/30/02 Common 27,500 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $14.50 (1) (1) (1) 1/27/01 Common 25,000 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $10.00 (1) (1) (1) 12/23/99 Common 30,000 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $6.38 (1) (1) (1) 2/24/99 Common 22,000 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $6.50 (1) (1) (1) 9/17/98 Common 19,000 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 9. Number of 10. Ownership 11. Nature of Security Derivative of Derivative Indirect (Instr. 3) Securities Security: Beneficial Beneficially Direct (D) Ownership Owned at End or Indirect (I) (Instr. 4) of Year (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------- Non-Incentive 50,000 D Stock Options - ------------------------------------------------------------------------------------------------------- Non-Incentive 50,000 D Stock Options - ------------------------------------------------------------------------------------------------------- Non-Incentive 27,500 D Stock Options - ------------------------------------------------------------------------------------------------------- Non-Incentive 25,000 D Stock Options - ------------------------------------------------------------------------------------------------------- Non-Incentive 30,000 D Stock Options - ------------------------------------------------------------------------------------------------------- Non-Incentive 22,000 D Stock Options - ------------------------------------------------------------------------------------------------------- Non-Incentive 19,000 D Stock Options ------- - ------------------------------------------------------------------------------------------------------- 223,500 D - ------------------------------------------------------------------------------------------------------- Explanation of Responses: 1. Previously reported. 2. Lew Burdette as custodian for his daughter Sarah Gabel Burdette. 3. Lew Burdette as custodian for his son Robert Ashford Burdette. 4. Held by spouse. 5. These options become exercisable in 20% annual increments commencing on the first anniversary of the date of grant. **INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. /s/ R. Lew Burdette 3/17/98 SEE 18 U.S.C. 1001 AND 15 U.S.C. 78FF(A). ------------------------------- ------- R. LEW BURDETTE Date NOTE. FILE THREE COPIES OF THIS FORM, ONE OF WHICH MUST BE MANUALLY SIGNED. PAGE 2 IF SPACE PROVIDED IS INSUFFICIENT, SEE INSTRUCTION 6 FOR PROCEDURE. SEC 2270 (9-96) POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB NUMBER.
-----END PRIVACY-ENHANCED MESSAGE-----