4//SEC Filing
BALK MARK D 4
Accession 0001015215-03-000002
CIK 0000819539other
Filed
Oct 14, 8:00 PM ET
Accepted
Oct 15, 8:40 PM ET
Size
23.4 KB
Accession
0001015215-03-000002
Insider Transaction Report
Form 4
BALK MARK D
Other
Transactions
- Other
Class B Common Stock
2003-10-15$44.36/sh+495$21,958→ 624,831 total(indirect: see notes)
Footnotes (12)
- [F1]Represents a distribution of 495 shares by Amy Smith Berylson to the Trust f/b/o Jennifer L. Berylson under J-J-E 1988 Trust u/d/t dtd. November 1, 1988 of which the reporting person, along with John G. Berylson, is a trustee.
- [F10]Represents a distribution of 495 shares by Robert A. Smith to the Trust f/b/o Madeleine W. Smith under Robert Smith and Dana Weiss 1994 Children's Trust u/d/t dtd. December 1, 1994 of which the reporting person, along with Dana A. Weiss, is a trustee.
- [F11]Represents a distribution of 495 shares by Robert A. Smith to the Trust f/b/o Ryan A. Smith under Robert Smith and Dana Weiss 1994 Children's Trust u/d/t dtd. December 1, 1994 of which the reporting person, along with Dana A. Weiss, is a trustee.
- [F12]Represents a distribution of 495 shares by Robert A. Smith to the Trust f/b/o Jackson A. Smith under Robert Smith and Dana Weiss 1994 Children's Trust u/d/t dtd. December 1, 1994 of which the reporting person, along with Dana A. Weiss, is a trustee.
- [F2]Reflects the shares held indirectly by Mark D. Balk as trustee of the following trusts: 54,234 shares owned indirectly by Mark D. Balk as trustee of the Amy Smith Berylson 1998 Grantor Retained Annuity Trust; 48,208 shares owned indirectly by Mark D. Balk as trustee of the Robert A. Smith 1998 Grantor Retained Annuity Trust; 47,605 shares owned indirectly by Mark D. Balk as trustee of the Debra S. Knez 1998 Grantor Retained Annuity Trust; 5,026 shares owned indirectly by Mark D. Balk as trustee of the J-J-E 1988 Trust f/b/o Jennifer L. Berylson u/d/t dtd. November 1, 1988; 5,026 shares owned indirectly by Mark D. Balk as trustee of the J-J-E 1988 Trust f/b/o James T. Berylson u/d/t dtd. November 1, 1988; 5,026 shares owned indirectly by Mark D. Balk as trustee of the J-J-E 1988 Trust f/b/o Elizabeth S. Berylson u/d/t dtd. November 1, 1988;
- [F3]5,849 shares owned indirectly by Mark D. Balk as trustee of the Debra and Brian Knez 1988 Children's Trust f/b/o Jessica M. Knez u/d/t dtd. December 1, 1988; 5,849 shares owned indirectly by Mark D. Balk as trustee of the Debra and Brian Knez 1988 Children's Trust f/b/o Andrew P. Knez u/d/t dtd. December 1, 1988; 4,391 shares owned indirectly by Mark D. Balk as trustee of the Robert Smith and Dana Weiss 1994 Children's Trust f/b/o Madeleine W. Smith u/d/t dtd. December 1, 1994; 4,391 shares owned indirectly by Mark D. Balk as trustee of the Robert Smith and Dana Weiss 1994 Children's Trust f/b/o Ryan A. Smith u/d/t dtd. December 1, 1994; 4,391 shares owned indirectly by Mark D. Balk as trustee of the Robert Smith and Dana Weiss 1994 Children's Trust f/b/o Jackson A. Smith u/d/t dtd. December 1, 1994;
- [F4]48,208 shares owned indirectly by Mark D. Balk as trustee of the Amy Smith Berylson 1978 Insurance Trust u/d/t dtd. September 5, 1978; 48,208 shares owned indirectly by Mark S. Balk as trustee of the Robert Smith Insurance Trust u/d/t dtd. September 5, 1978; 48,208 shares owned indirectly by Mark D. Balk as trustee of the Debra Smith Knez Insurance Trust u/d/t dtd. September 5, 1978; 96,416 shares owned indirectly by Mark D. Balk as trustee of the Nancy Lurie Marks 1976 Trust f/b/o Cathy Lurie u/d/t dtd. December 16, 1976 and 96,416 shares owned indirectly by Mark D. Balk as trustee of the Nancy Lurie Marks 1976 Trust f/b/o Peter Lurie u/d/t dtd. December 16, 1976; 28,997 shares owned indirectly by Mark D. Balk as trustee of the Susan F. Smith Grantor Retained Annuity Trust - 7 Years u/d/t dated August 10, 1994 f/b/o Amy Smith Berylson;
- [F5]28,997 shares owned indirectly by Mark D. Balk as trustee of the Susan F. Smith Grantor Retained Annuity Trust - 7 Years u/d/t dated August 10, 1994 f/b/o Robert A. Smith; 28,997 shares owned indirectly by Mark D. Balk as trustee of the Susan F. Smith Grantor Retained Annuity Trust - 7 Years u/d/t dated August 10, 1994 f/b/o Debra Smith Knez; 10,388 shares owned indirectly by Mark D. Balk as trustee of the ADR Charitable Foundation and Trust U/D/T Dated 11/1/68. Mark D. Balk disclaims beneficial ownership of all of these shares and this report shall not be deemed an admission that Mark D. Balk is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- [F6]Represents a distribution of 495 shares by Amy Smith Berylson to the Trust f/b/o James T. Berylson under J-J-E 1988 Trust u/d/t dtd. November 1, 1988 of which the reporting person, along with John G. Berylson, is a trustee.
- [F7]Represents a distribution of 495 shares by Amy Smith Berylson to the Trust f/b/o Elizabeth S. Berylson under J-J-E 1988 Trust u/d/t dtd. November 1, 1988 of which the reporting person, along with John G. Berylson, is a trustee.
- [F8]Represents a distribution of 495 shares by Debra Smith Knez to the Trust f/b/o Jessica M. Knez under Debra and Brian Knez 1988 Children's Trust u/d/t dtd. December 1, 1988 of which the reporting person, along with Brian J. Knez, is a trustee.
- [F9]Represents a distribution of 495 shares by Debra Smith Knez to the Trust f/b/o Andrew P. Knez under Debra and Brian Knez 1988 Children's Trust u/d/t dtd. December 1, 1988 of which the reporting person, along with Brian J. Knez, is a trustee.
Documents
Issuer
NEIMAN MARCUS GROUP INC
CIK 0000819539
Entity typeother
Related Parties
1- filerCIK 0001015215
Filing Metadata
- Form type
- 4
- Filed
- Oct 14, 8:00 PM ET
- Accepted
- Oct 15, 8:40 PM ET
- Size
- 23.4 KB