SEC Form 5
FORM 5 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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 |
| |||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
| Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol Gordmans Stores, Inc. [ GMAN ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| ||||||||||||||||||||||||
3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year) 12/31/2016 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Gordmans Stores, Inc. Common Stock | 10/20/2015 | P4 | 106,458 | A | $3.6865 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities(1) | |||||||
Gordmans Stores, Inc. Common Stock | 10/21/2015 | P4 | 26,777 | A | $3.7 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 11/16/2015 | P4 | 9,796 | A | $2.7231 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 11/17/2015 | P4 | 28,644 | A | $2.7578 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 11/18/2015 | P4 | 111,560 | A | $2.889 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 04/05/2016 | P4 | 18,799 | A | $2.2959 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 04/06/2016 | P4 | 5,019 | A | $2.3 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 04/07/2016 | P4 | 11,910 | A | $2.2686 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 04/08/2016 | P4 | 28,544 | A | $2.3627 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 04/27/2016 | P4 | 10,015 | A | $2.3201 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 04/29/2016 | P4 | 7,958 | A | $2.2718 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 05/02/2016 | P4 | 8,608 | A | $2.3209 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 05/04/2016 | P4 | 7,081 | A | $2.3079 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 05/06/2016 | P4 | 58,959 | A | $2.3197 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 05/09/2016 | P4 | 1,466 | A | $2.3932 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 05/10/2016 | P4 | 9,115 | A | $2.3648 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 05/11/2016 | P4 | 8,829 | A | $2.3749 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 05/12/2016 | P4 | 5,511 | A | $2.3786 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 09/16/2016 | S4 | 1,733 | D | $1 | 0 | I | By SEB SICAV 2 - SEB Listed Private Equity Fund | |||||||
Gordmans Stores, Inc. Common Stock | 11/14/2016 | S4 | 56,616 | D | $0.8206 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 11/14/2016 | S4 | 56,616 | D | $0.8206 | 0 | I | By SEB SICAV 2 - SEB Listed Private Equity Fund | |||||||
Gordmans Stores, Inc. Common Stock | 11/15/2016 | S4 | 12,317 | D | $0.781 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 11/15/2016 | S4 | 12,317 | D | $0.781 | 0 | I | By SEB SICAV 2 - SEB Listed Private Equity Fund | |||||||
Gordmans Stores, Inc. Common Stock | 11/16/2016 | S4 | 5,566 | D | $0.7875 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 11/16/2016 | S4 | 5,566 | D | $0.7875 | 0 | I | By SEB SICAV 2 - SEB Listed Private Equity Fund | |||||||
Gordmans Stores, Inc. Common Stock | 11/17/2016 | S4 | 4,543 | D | $0.7747 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 11/17/2016 | S4 | 4,543 | D | $0.7747 | 0 | I | By SEB SICAV 2 - SEB Listed Private Equity Fund | |||||||
Gordmans Stores, Inc. Common Stock | 11/18/2016 | S4 | 34,003 | D | $0.7517 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities | |||||||
Gordmans Stores, Inc. Common Stock | 11/18/2016 | S4 | 34,003 | D | $0.7517 | 0 | I | By SEB SICAV 2 - SEB Listed Private Equity Fund | |||||||
Gordmans Stores, Inc. Common Stock | 11/21/2016 | S4 | 4,923 | D | $0.75 | 0 | I | By SEB Alternative Strategies SICAV - SEB Industrial Opportunities |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. 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. |
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. |
/s/ Marcin Valnell | 02/15/2017 | |
** 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. |