Neiman Marcus 2004 Annual Report Download - page 67

ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED SHAREHOLDER
MATTERS
The following table sets forth certain information regarding equity compensation plans approved by shareholders and equity compensation plans not
approved by shareholders as of July 30, 2005.
Plan Category
Number of
Securities to be
issued upon
exercise of
outstanding
options
Weighted-average
exercise price of
outstanding
options, warrants,
and rights
Number of securities
remaining available
for future issuance
under equity
compensation plans
(excluding securities
reflected in column (a))
(a) (b) (c)
Equity compensation plans approved by security holders 3,588,929(1)$ 38.16(2) 1,332,038(3)
Equity compensation plans not approved by security holders 17,000(4)$ 31.26 0
Total 3,605,929 $ 38.12 1,332,038
This number includes 3,033,855 shares issuable upon the exercise of options, 281,536 shares issuable upon the lapse of restrictions on purchased
restricted stock and purchased restricted stock units, 170,718 shares issuable upon the lapse of restrictions on restricted stock and restricted stock units,
and 102,307 shares issuable upon the lapse of restrictions on the matching restricted stock units. All shares are issuable under the 1997 Plan. Purchased
restricted stock and purchased restricted stock units are purchased at 50 percent or 100 percent of the fair market value on the date of award. No
monetary consideration is paid upon the lapse of restrictions on purchased restricted stock units or restricted stock units. All units of restricted stock
and purchased restricted stock are subject to possible forfeiture until restrictions lapse. Units of matching restricted stock are matched one for one with
the purchase of purchased restricted stock units and are issuable on the lapse of restrictions on the purchased restricted stock units. Restricted stock and
restricted stock units, purchased restricted stock and purchased restricted stock units and matching restricted stock have not been included in the
weighted-average exercise price calculation.
Calculation of weighted-average exercise price does not include restricted stock, restricted stock units, purchased restricted stock, purchased restricted
stock units, and matching restricted stock units.
All shares remain available for future issuance under the 1997 Incentive Plan.
Shares indicated remain issuable upon the exercise of stock options granted under the Company's 1987 Stock Incentive Plan which expired in 1997.
Awards granted under the 1987 Stock Incentive Plan included stock options, stock appreciation rights and other stock-based awards.
Security Ownership of Certain Beneficial Owners and Management
The following table sets forth the number of shares of our class A and class B common stock beneficially owned, as of September 2, 2005, by our Chief
Executive Officer and the next four most highly compensated current executive officers, each of our directors, all of our directors and executive officers as a
group and any person or "group" (as defined in Section 13(d)(3) of the Exchange Act) who is known by us to be the beneficial owner of more than five
percent of any class of the Company's common stock. As of September 2, 2005, 48,947,314 shares of common stock of the Company were outstanding
(29,524,935 shares of Class A common stock and 19,422,379 shares of Class B common
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(1)
(2)
(3)
(4)