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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 | ||||||||
Nonqualified Stock Option (4) | $ 60.83 | 10/29/2004 | 10/29/2004 | A | 31,042 | 10/29/2007 | 10/29/2010 | Common Stock, Class A | 31,042 | $ 60.83 | 31,042 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HOFFMAN BRENDAN THE NEIMAN MARCUS GROUP, INC. 1618 MAIN STREET DALLAS, TX 75201 |
Pres. & CEO, NM Direct |
Brendan Hoffman | 10/29/2004 | |
**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) | The Class A Common Stock reported herein as acquired represents shares issuable in the future in respect of matching restricted stock units ("MRSUs") acquired in a transaction exempt from Section 16(b) under Rule 16b-3 pursuant to The Neiman Marcus Group, Inc. 1997 Incentive Plan (the "Plan"), which includes tax withholding rights. |
(2) | On the same date the MRSUs were awarded, the reporting person agreed to purchase from the Company pursuant to the Plan, in a transaction exempt from Section 16(b) under Rule 16b-3, a number of shares of Class A Common Stock of the Company equal to the number of MRSUs noted above (the "Matched Common Stock"). The Company will hold the certificate representing the Matched Common Stock. If the reporting person requests and receives delivery of certificates representing any or all of the Matched Common Stock prior to the vesting of the award of the MRSUs, the reporting person will immediately forfeit a proportionate number of MRSUs. |
(3) | The Class A Common Stock reported herein as acquired represents shares issuable in the future in respect of restricted stock units acquired in a transaction exempt from Section 16(b) under Rule 16b-3 pursuant to the Plan, which includes tax withholding rights. |
(4) | Option granted pursuant to The Neiman Marcus Group, Inc. 1997 Incentive Plan, which includes tax withholding rights. Option vests three years from the date of the grant and expires six years from the date of the grant. |