SEC FORM
4
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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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*
C/O STEIN MART INC |
1200 RIVERPLACE BLVD |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
STEIN MART INC
[ SMRT ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
X |
Officer (give title below) |
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Other (specify below) |
Chief Executive Officer |
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3. Date of Earliest Transaction
(Month/Day/Year) 02/01/2019
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
02/01/2019 |
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F |
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8,409
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D |
$1.14
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296,814 |
D |
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Common Stock |
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350 |
I |
Irrevocable Trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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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 |
Explanation of Responses: |
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Robert Devine, attorney-in-fact |
02/04/2019 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* 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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
POWER OF ATTORNEY
Know all by these presents, that, for good and
valuable consideration, the sufficiency and receipt of which are
hereby acknowledged, the undersigned hereby constitutes and
appoints each of Gregory W. Kleffner and Robert Devine,
or any of them signing singly, and with full power of
substitution, the undersigned's true and lawful attorney-in-fact
to:
1. execute for and on behalf of the undersigned (in
accordance with Section 16(a) of the Securities Exchange Act of
1934, as amended, and the rules thereunder (the "Exchange
Act")), in the undersigned's capacity as an officer and/or
director of Stein Mart, Inc. (the "Company"), any and all Forms
3, 4 and 5, and any amendments thereto, that are necessary or
advisable for the undersigned to file under Section 16(a)
(collectively, "Documents");
2. do and perform any and all acts for and on behalf
of the undersigned that may be necessary or desirable to
complete and execute any such Documents and timely file such
Documents with the United States Securities and Exchange
Commission and any stock exchange or similar authority; and
3. take any other action of any type whatsoever in
connection with the foregoing which, in the opinion of such
attorney-in-fact, may be of benefit to, in
the best interest of,
or legally required by, the undersigned, it being understood
that the documents executed by such attorney-in-fact on behalf
of the undersigned pursuant to this Power of Attorney shall be
in such form and shall contain such terms and conditions as such
attorney-in-fact may approve in such attorney-in-fact's
discretion.
The undersigned hereby grants to such attorney-in-
fact full power and authority to do and perform any and every
act and thing whatsoever requisite, necessary or proper to be
done in the exercise of any of the rights and powers herein
granted, as fully to all intents and purposes as the undersigned
might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all
that such attorney-in-fact (or such attorney-in-fact's
substitute or substitutes) shall lawfully do or cause to be done
by virtue of this power of attorney and the rights and powers
herein granted. The undersigned acknowledges that such
attorney-in-fact, in serving in such capacity at the request of
the undersigned, is not assuming, nor is such attorney-in-fact's
substitute or substitutes assuming, any of the undersigned's
responsibilities to comply with the Exchange Act. The
undersigned agrees to defend and hold harmless such attorney-in-
fact (and such attorney-in-fact's substitute or substitutes)
from and against any and all loss, damage or liability that such
attorney-in-fact may sustain as a result of any action taken in
good faith hereunder.
This Power of Attorney shall remain in full force
and effect until the undersigned is no longer required to file
Documents with respect to the undersigned's holdings of and
transactions in securities issued by the Company, unless earlier
revoked by the undersigned in a signed writing delivered to the
foregoing attorney-in-fact. This Power of Attorney shall be
construed under the laws of the state of Florida, without regard
to conflict of law principles.
IN WITNESS WHEREOF, the undersigned has caused this
Power of Attorney to be executed as of this 5th day of
February 2019.
/S/ D. HUNT HAWKINS
Signature
Name: D. Hunt Hawkins