Statement of Changes in Beneficial Ownership (4)

Date : 01/31/2020 @ 10:29PM
Source : Edgar (US Regulatory)
Stock : Stein Mart Inc (SMRT)
Quote : 0.4623  -0.0027 (-0.58%) @ 9:30PM

Statement of Changes in Beneficial Ownership (4)

FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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OMB Number: 3235-0287
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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
                      

1. Name and Address of Reporting Person *

STEIN JAY
2. Issuer Name and Ticker or Trading Symbol

STEIN MART INC [ SMRT ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    __X__ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chairman
(Last)          (First)          (Middle)

STEIN MART, INC., 1200 RIVERPLACE BOULEVARD, 10TH FLOOR
3. Date of Earliest Transaction (MM/DD/YYYY)

1/29/2020
(Street)

JACKSONVILLE, FL 32207
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 1/29/2020  J(1)  234197 A (1)9908996 (2)D  
Common Stock 1/30/2020  G  9908996 D$0.00 0 D  
Common Stock 1/30/2020  G  9908996 A$0.00 17339544 (2)I See footnote (3)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) Represents shares received pursuant to a private settlement agreement with a third party.
(2) Includes shares previously reported as indirectly beneficially owned by the reporting person. All shares previously reported as indirectly beneficially owned by the reporting person were contributed to Stein Family Holdco LLC on January 30, 2020.
(3) By Stein Family Holdco LLC. The reporting person is the manager of Stein Family Holdco LLC.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
STEIN JAY
STEIN MART, INC.
1200 RIVERPLACE BOULEVARD, 10TH FLOOR
JACKSONVILLE, FL 32207
XXChairman

Signatures
/s/ Jay Stein1/31/2020
**Signature of Reporting PersonDate

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