Annual Statement of Changes in Beneficial Ownership (5)
February 15 2017 - 8:42AM
Edgar (US Regulatory)
FORM 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).
[
X
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Form 3 Holdings Reported
[
X
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden
hours per response...
1.0
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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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1. Name and Address of Reporting Person
*
SEB Investment Management AB
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2. Issuer Name
and
Ticker or Trading Symbol
Gordmans Stores, Inc. [GMAN]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
SVEAVAGEN 8
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
12/31/2016
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(Street)
STOCKHOLM, V7 SE-106 40
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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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Amount
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(A) or (D)
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Price
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Gordmans Stores, Inc. Common Stock
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11/21/2016
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S4
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4923
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D
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$0.75
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0
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I
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By SEB SICAV 2 - SEB Listed Private Equity Fund
(1)
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Gordmans Stores, Inc. Common Stock
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11/22/2016
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S4
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6736
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D
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$0.77
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0
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I
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By SEB Alternative Strategies SICAV - SEB Industrial Opportunities
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Gordmans Stores, Inc. Common Stock
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11/22/2016
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S4
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6736
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D
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$0.77
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0
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I
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By SEB SICAV 2 - SEB Listed Private Equity Fund
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Gordmans Stores, Inc. Common Stock
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11/23/2016
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S4
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15025
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D
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$0.7965
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0
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I
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By SEB Alternative Strategies SICAV - SEB Industrial Opportunities
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Gordmans Stores, Inc. Common Stock
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11/23/2016
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S4
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15025
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D
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$0.7965
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0
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I
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By SEB SICAV 2 - SEB Listed Private Equity Fund
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Gordmans Stores, Inc. Common Stock
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11/25/2016
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S4
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8231
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D
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$0.752
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0
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I
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By SEB Alternative Strategies SICAV - SEB Industrial Opportunities
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Gordmans Stores, Inc. Common Stock
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11/25/2016
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S4
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8231
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D
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$0.752
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0
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I
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By SEB SICAV 2 - SEB Listed Private Equity Fund
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Gordmans Stores, Inc. Common Stock
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11/28/2016
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S4
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15817
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D
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$0.7576
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0
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I
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By SEB Alternative Strategies SICAV - SEB Industrial Opportunities
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Gordmans Stores, Inc. Common Stock
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11/28/2016
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S4
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15817
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D
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$0.7576
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0
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I
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By SEB SICAV 2 - SEB Listed Private Equity Fund
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Gordmans Stores, Inc. Common Stock
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11/29/2016
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S4
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25425
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D
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$0.7504
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0
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I
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By SEB Alternative Strategies SICAV - SEB Industrial Opportunities
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Gordmans Stores, Inc. Common Stock
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11/29/2016
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S4
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25425
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D
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$0.7504
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0
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I
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By SEB SICAV 2 - SEB Listed Private Equity Fund
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Gordmans Stores, Inc. Common Stock
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11/30/2016
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S4
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400
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D
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$0.75
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0
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I
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By SEB Alternative Strategies SICAV - SEB Industrial Opportunities
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Gordmans Stores, Inc. Common Stock
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11/30/2016
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S4
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400
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D
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$0.75
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0
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I
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By SEB SICAV 2 - SEB Listed Private Equity Fund
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Gordmans Stores, Inc. Common Stock
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12/8/2016
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S4
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24811
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D
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$0.7657
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0
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I
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By SEB Alternative Strategies SICAV - SEB Industrial Opportunities
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Gordmans Stores, Inc. Common Stock
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12/8/2016
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S4
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24811
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D
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$0.7657
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0
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I
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By SEB SICAV 2 - SEB Listed Private Equity Fund
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Gordmans Stores, Inc. Common Stock
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12/9/2016
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S4
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16029
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D
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$0.7527
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0
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I
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By SEB Alternative Strategies SICAV - SEB Industrial Opportunities
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Gordmans Stores, Inc. Common Stock
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12/9/2016
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S4
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16029
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D
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$0.7527
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0
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I
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By SEB SICAV 2 - SEB Listed Private Equity Fund
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Gordmans Stores, Inc. Common Stock
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3
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1748375
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I
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By SEB SICAV 2 - SEB Listed Private Equity Fund
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Gordmans Stores, Inc. Common Stock
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3
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663299
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I
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By SEB Alternative Strategies SICAV - SEB Industrial Opportunities
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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 Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. 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
(MM/DD/YYYY)
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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 at End of Issuer's Fiscal Year
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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The shares of common stock (the "Shares") of Gordmans Stores, Inc., a Delaware corporation (the "Issuer"), reported herein are held by either SEB Alternative Strategies SICAV - SEB Industrial Opportunities ("SEB Alternative Strategies") or SEB SICAV 2 - SEB Listed Private Equity Fund ("SEB Private Equity"), as indicated in Column 7 of Table I for each respective holding or transaction reported. SEB Investment Management AB (the "Reporting Person"), in its capacity as the investment manager of SEB Alternative Strategies and SEB Private Equity, may be deemed to have indirect shared voting and dispositive power with respect to the Shares owned directly by SEB Alternative Strategies and SEB Private Equity. The event triggering the Form 3 filing obligation by SEB Investment Management AB with respect to the Shares occurred on October 20, 2015 when the combined holdings of SEB Alternative Strategies and SEB Private Equity exceeded 10% of the outstanding shares of the Issuer.
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Remarks:
SEB Investment Management AB is a wholly owned subsidiary of Skandinaviska Enskilda Banken AB (publ), a publicly traded Swedish bank.
This report shall not be deemed an admission that the Reporting Person, SEB Alternative Strategies, SEB Private Equity or Skandinaviska Enskilda Banken AB (publ) or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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SEB Investment Management AB
SVEAVAGEN 8
STOCKHOLM, V7 SE-106 40
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X
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Signatures
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/s/ Marcin Valnell
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2/15/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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