SMRT » Topics » PART IV

These excerpts taken from the SMRT 10-K filed Apr 16, 2009.

PART II

 

ITEM 5. MARKET FOR REGISTRANT’S COMMON EQUITY, RELATED STOCKHOLDER MATTERS AND ISSUER PURCHASES OF EQUITY SECURITIES

PART II

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ITEM 5.MARKET FOR REGISTRANT’S COMMON EQUITY, RELATED STOCKHOLDER MATTERS AND ISSUER PURCHASES OF EQUITY SECURITIES
STYLE="margin-top:6px;margin-bottom:0px">Market Price and Related Matters

The following table sets forth the
high and low sales prices of the Company’s common stock and dividends declared for each quarter in the years ended January 31, 2009 and February 2, 2008:

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   Year Ended January 31, 2009  Year Ended February 2, 2008
   High  Low  Dividend  High  Low  Dividend

First Quarter

  $6.65  $4.53  $—    $17.17  $13.00  $0.0625

Second Quarter

   5.90   3.66   —     15.52   10.05   0.0625

Third Quarter

   5.21   1.50   —     11.26   5.92   0.0625

Fourth Quarter

   2.26   0.99   —     7.99   3.29   0.0625

Stein Mart’s common stock trades on The NASDAQ Stock Market LLC under the trading symbol SMRT. On
April 3, 2009, there were 1,219 stockholders of record.

PART III

 

ITEM 10. DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE

The information required by this item is incorporated herein by reference to the disclosure found in the Company’s Proxy Statement for its June 9, 2009 Annual Meeting of Stockholders.

The Company has adopted a code of conduct applicable to all of the Company’s officers, directors and employees, including the Company’s principal executive officer, principal financial officer, principal accounting officer and persons performing similar functions. The text of this code of conduct may be found on our web site at www.steinmart.com. The Company intends to post notice of any waiver from, or amendment to, any provision of our code of conduct on our web site.

 

ITEM 11. EXECUTIVE COMPENSATION

The information required by this item is incorporated herein by reference to the disclosure found in the Company’s Proxy Statement for its June 9, 2009 Annual Meeting of Stockholders.

 

ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS

The information required by this item is incorporated herein by reference to the disclosure found in the Company’s Proxy Statement for its June 9, 2009 Annual Meeting of Stockholders.

 

ITEM 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS, AND DIRECTOR INDEPENDENCE

The information required by this item is incorporated herein by reference to the disclosure found in the Company’s Proxy Statement for its June 9, 2009 Annual Meeting of Stockholders.

 

ITEM 14. PRINCIPAL ACCOUNTING FEES AND SERVICES

The information required by this item is incorporated herein by reference to the disclosure found in the Company’s Proxy Statement for its June 9, 2009 Annual Meeting of Stockholders.

 

20


Table of Contents

PART IV

 

ITEM 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES

(a) The following financial statements and exhibits are filed as part of this report or are incorporated herein as indicated.

1. List of Financial Statements

 

     Page

Report of Independent Registered Certified Public Accounting Firm

   F–1

Consolidated Balance Sheets

   F–2

Consolidated Statements of Operations

   F–3

Consolidated Statements of Stockholders’ Equity

   F–4

Consolidated Statements of Cash Flows

   F–5

Notes to Consolidated Financial Statements

   F–6

2. List of Financial Statement Schedules

All schedules are omitted because they are not applicable or the required information is presented in the financial statements or notes thereto.

3. List of Exhibits

See “Exhibit Index”, which is incorporated herein by reference.

 

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Table of Contents

PART IV

 





ITEM 15.EXHIBITS, FINANCIAL STATEMENT SCHEDULES

(a) The following
financial statements and exhibits are filed as part of this report or are incorporated herein as indicated.

1. List of Financial Statements

STYLE="font-size:12px;margin-top:0px;margin-bottom:0px"> 




































   Page

Report of Independent Registered Certified Public Accounting Firm

  F–1

Consolidated Balance Sheets

  F–2

Consolidated Statements of Operations

  F–3

Consolidated Statements of Stockholders’ Equity

  F–4

Consolidated Statements of Cash Flows

  F–5

Notes to Consolidated Financial Statements

  F–6

2. List of Financial Statement Schedules

FACE="Times New Roman" SIZE="2">All schedules are omitted because they are not applicable or the required information is presented in the financial statements or notes thereto.

FACE="Times New Roman" SIZE="2">3. List of Exhibits

See “Exhibit Index”, which is incorporated herein by reference.

STYLE="margin-top:0px;margin-bottom:0px"> 


21







Table of Contents


These excerpts taken from the SMRT 10-K filed Apr 17, 2008.


PART II

 






ITEM 5.
MARKET FOR REGISTRANT’S COMMON EQUITY, RELATED STOCKHOLDER MATTERS AND ISSUER PURCHASES OF EQUITY SECURITIES
STYLE="margin-top:6px;margin-bottom:0px">Market Price and Related Matters

The following table sets forth the
high and low sales prices of Common Stock and dividends declared for each fiscal quarter in fiscal 2007 and 2006:

 










































































































































   High  Low  Dividend

Fiscal 2007:

      

May 5, 2007

  $17.17  $13.00  $0.0625

August 4, 2007

   15.52   10.05   0.0625

November 3, 2007

   11.26   5.92   0.0625

February 2, 2008

   7.99   3.29   0.0625

Fiscal 2006:

      

April 29, 2006

  $18.20  $14.77  $1.5625

July 29, 2006

   16.52   12.75   0.0625

October 28, 2006

   16.89   11.27   0.0625

February 3, 2007

   18.00   12.55   0.0625

Stein Mart’s common stock trades on The NASDAQ Stock Market LLC under the trading symbol SMRT. On
April 11, 2008, there were 1,165 stockholders of record.

 


9







Table of Contents


PART IV

 

ITEM 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES

(a) The following financial statements and exhibits are filed as part of this report or are incorporated herein as indicated.

1. List of Financial Statements

 

     Page

Report of Independent Registered Certified Public Accounting Firm

   F–1

Consolidated Balance Sheets

   F–2

Consolidated Statements of Operations

   F–3

Consolidated Statements of Stockholders’ Equity

   F–4

Consolidated Statements of Cash Flows

   F–5

Notes to Consolidated Financial Statements

   F–6

2. List of Financial Statement Schedules

All schedules are omitted because they are not applicable or the required information is presented in the financial statements or notes thereto.

3. List of Exhibits

See “Exhibit Index”, which is incorporated herein by reference.

 

19


Table of Contents
This excerpt taken from the SMRT 10-K filed Apr 18, 2007.

PART IV

 

ITEM 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES

 

(a) The following financial statements and exhibits are filed as part of this report or are incorporated herein as indicated.

 

1.      List of Financial Statements    Page

Report of Independent Registered Certified Public Accounting Firm

   F–1

Consolidated Balance Sheets

   F–2

Consolidated Statements of Income

   F–3

Consolidated Statements of Stockholders’ Equity

   F–4

Consolidated Statements of Cash Flows

   F–5

Notes to Consolidated Financial Statements

   F–6

 

2. List of Financial Statement Schedules

All schedules are omitted because they are not applicable or the required information is presented in the financial statements or notes thereto.

 

3. List of Exhibits

See “Exhibit Index”, which is incorporated herein by reference.

 

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