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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 13.75 | 11/19/2004 | M | 12,500 | 08/24/2004 | 08/24/2011 | Common Stock | 12,500 | $ 0 | 80,300 (2) | D | ||||
Stock Option (right to buy) | $ 15 | 11/22/2004 | M | 500 | 08/24/2004 | 08/24/2011 | Common Stock | 500 | $ 0 | 79,800 (2) | D | ||||
Stock Option (right to buy) | $ 15 | 11/23/2004 | M | 12,000 | 08/24/2004 | 08/24/2011 | Common Stock | 12,000 | $ 0 | 67,800 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ABRAMCZYK DENNIS C/O STAGE STORES 10201 S. MAIN HOUSTON, TX 77025 |
EVP, General Merchandise Mgr. |
/s/ Dennis Abramczyk | 11/23/2004 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This sale was made pursuant to a pre-established, written plan for trading securities pursuant to Rule 10b5-1 adopted by the SEC pursuant to the Securities Exchange Act of 1934. |
(2) | On August 24, 2001, the reporting person was granted stock options for 150,000 shares in three groupings with per share exercise prices of $13.75, $15.00 and $16.25, respectively. The right to exercise these options vests over four years from August 24, 2001, with 25% of each grouping vesting at the end of each of the first four years following the date of grant, and will expire on the earlier of (i) sixty days after the termination of the Officer's employment with the Company, or (ii) ten years from the date of grant. The stock options exercised and reported on this Form 4 are a portion of that grant. |