-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ITfA4OvcirdBUHEsLApCCnFyodf9MXk8m6XoXBfuTwaQHaXvJS+e0qhfsl/jSFRc Kys2QrM5g92SMInC2sxabw== 0000950144-98-002876.txt : 19980318 0000950144-98-002876.hdr.sgml : 19980318 ACCESSION NUMBER: 0000950144-98-002876 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980131 FILED AS OF DATE: 19980317 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BOOKS A MILLION INC CENTRAL INDEX KEY: 0000891919 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] IRS NUMBER: 630798460 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-20664 FILM NUMBER: 98567637 BUSINESS ADDRESS: STREET 1: 402 INDUSTRIAL LN CITY: BIRMINGHAM STATE: AL ZIP: 35211 BUSINESS PHONE: 2059423737 MAIL ADDRESS: STREET 1: 402 INDUSTRIAL LANE CITY: BIRMINGHAM STATE: AL ZIP: 35211 COMPANY DATA: COMPANY CONFORMED NAME: COCHRAN SANDRA B CENTRAL INDEX KEY: 0001056610 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 402 INDUSTRIAL LN CITY: BIRMINGHAM STATE: AL ZIP: 35211 BUSINESS PHONE: 2059423737 MAIL ADDRESS: STREET 1: 402 INDUSTRIAL LANE CITY: BIRMINGHAM STATE: AL ZIP: 35211 5 1 BOOKS-A-MILLION, INC. - SANDRA B. COCHRAN 1
- ------ --------------------------- FORM 5 OMB APPROVAL - ------ OMB NUMBER: 3235-0362 Expires: September 30, 1998 Estimated average burden / / Check this box if no U.S. SECURITIES AND EXCHANGE COMMISSION hours per response......1.0 longer subject to WASHINGTON, DC 20549 --------------------------- Section 16. Form 4 or Form 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP obligations may continue. See Filed pursuant to Section 16(a) of the Securities Instruction 1(b) Exchange Act of 1934, / / Form 3 Holdings Section 17(a) of the Public Utility Reported Holding Company Act of 1935 or Section 30(f) of / / Form 4 the Investment Company Act Transactions of 1940 Reported - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name AND Ticker or Trading Symbol 6. Relationship of Reporting Person(s) Cochran, Sandra B. Books-A-Million, Inc. (BAMM) to Issuer (Check all applicable) - ------------------------------------------- ---------------------------------------------- Director 10% Owner (Last) (First) (Middle) 3. IRS Identification 4. Statement for ---- --- Books-A-Million, Inc., 402 Industrial Lane Number of Reporting Month/Year X Officer (give Other (specify - ------------------------------------------- Person, (Voluntary) January 1998 ---- title --- below) (Street) ------------------- below) Birmingham, Alabama 35211 5. If Amendment, Executive Vice President and - ------------------------------------------- Date of Original Chief Financial Officer (City) (State) (Zip) (Month/Year) -------------------------------- 7. Individual or Joint/Group Reporting ------------------ (check applicable line) X Form Filed by One ---- Reporting Person Form Filed by More than ---- One Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. End of Issuer's Direct Benefi- (Month/ 8) Fiscal Year (D) or cial Day/ ---------------------------- (Instr. 3 and 4) Indirect Owner- Year) Amount (A) or (D) Price (I) ship (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.01 par value (1) (1) 200 I (2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.01 par value (1) (1) 6,528 D ----- - ------------------------------------------------------------------------------------------------------------------------------------ 6,728 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ *If the form is filed by more than one reporting person, see instruction 4(b)(v). (Over) SEC 2270 (9-96) (Print or Type Responses)
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FORM 5 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Expiration Securities Deriv- Price of (Month/ (Instr. Acquired (A) Date (Instr. 3 and 4) ative Deriv- Day/ 8) or Disposed (Month/Day/ Secur- ative Year) of (D) Year) ity Security (Instr. 3, (Instr. 5) 4, and 5) ----------------------------------- Date Expira- Amount or --------------- Exer- tion Title Number of (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $5.875 1/30/98 A 60,000 (3) 1/30/04 Common 60,000 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $5.75 (1) (1) (1) 1/24/03 Common 50,000 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $8.00 (1) (1) (1) 1/30/02 Common 22,500 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $14.50 (1) (1) (1) 1/27/01 Common 20,000 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $10.00 (1) (1) (1) 12/23/99 Common 24,000 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $6.38 (1) (1) (1) 2/24/99 Common 15,000 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ Non-Incentive $6.50 (1) (1) (1) 9/17/98 Common 10,000 Stock Options Stock - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 9. Number of 10. Ownership 11. Nature of Security Derivative of Derivative Indirect (Instr. 3) Securities Security: Beneficial Beneficially Direct (D) Ownership Owned at End or Indirect (I) (Instr. 4) of Year (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------- Non-Incentive 60,000 D Stock Options - ------------------------------------------------------------------------------------------------------- Non-Incentive 50,000 D Stock Options - ------------------------------------------------------------------------------------------------------- Non-Incentive 22,500 Stock Options - ------------------------------------------------------------------------------------------------------- Non-Incentive 20,000 Stock Options - ------------------------------------------------------------------------------------------------------- Non-Incentive 24,000 Stock Options - ------------------------------------------------------------------------------------------------------- Non-Incentive 15,000 Stock Options - ------------------------------------------------------------------------------------------------------- Non-Incentive 10,000 Stock Options ------- - ------------------------------------------------------------------------------------------------------- 201,500 - ------------------------------------------------------------------------------------------------------- Explanation of Responses: 1. Previously reported. 2. Held by reporting person in custody for her daughter Katherine Jane Cochran. 3. These options become exercisable in 20% annual increments commencing on the first anniversary of the date of grant. **INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. /s/ SANDRA B. COCHRAN 3/17/98 SEE 18 U.S.C. 1001 AND 15 U.S.C. 78FF(a). -------------------------- ------- SANDRA B. COCHRAN Date NOTE. FILE THREE COPIES OF THIS FORM, ONE OF WHICH MUST BE MANUALLY SIGNED. PAGE 2 IF SPACE PROVIDED IS INSUFFICIENT, SEE INSTRUCTION 6 FOR PROCEDURE. SEC 2270 (9-96) POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB NUMBER.
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