Initial Statement of Beneficial Ownership (3)
March 11 2020 - 4:12PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Axelrod Andrew |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/2/2020
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3. Issuer Name and Ticker or Trading Symbol
STAGE STORES INC [SSI]
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(Last)
(First)
(Middle)
1330 AVENUE OF THE AMERICAS, 30TH FLOOR, |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Street)
NEW YORK, NY 10019
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock, par value $0.01 per share | 4300000 | I | See footnotes (1)(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | This Form 3 is filed by Mr. Andrew Axelrod, Axar Capital Management, LP (the "Investment Manager") and Axar GP LLC ("GP"), with respect to the securities held by certain funds and/or managed accounts (collectively, the "Axar Vehicles"). The Investment Manager serves as the investment manager of the Axar Vehicles. GP is the general partner of Investment Manager. Mr. Andrew Axelrod serves as the sole member of the GP. |
| (2) | Pursuant to Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), each of the Reporting Persons may be deemed to be the beneficial owner of the securities reported herein to the extent of his or its pecuniary interest therein, but disclaims beneficial ownership in excess of such amount; and pursuant to Rule 16a-1(a)(4) under the Act, this filing shall not be deemed an admission that any of the Reporting Persons is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities reported herein in excess of such amount. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Axelrod Andrew
1330 AVENUE OF THE AMERICAS, 30TH FLOOR
NEW YORK, NY 10019 |
| X |
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AXAR CAPITAL MANAGEMENT L.P.
1330 AVENUE OF THE AMERICAS
30TH FLOOR
NEW YORK, NY 10019 |
| X |
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Axar GP, LLC
1330 AVENUE OF THE AMERICAS, 30TH FLOOR
NEW YORK, NY 10019 |
| X |
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Signatures
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| /s/ Andrew Axelrod | | 3/11/2020 |
| **Signature of Reporting Person | Date |
| AXAR CAPITAL MANAGEMENT, LP, By: Axar GP LLC, its general partner, By:/s/ Andrew Axelrod, its Sole Member | | 3/11/2020 |
| **Signature of Reporting Person | Date |
| AXAR GP LLC, By: /s/ Andrew Axelrod, its Sole Member | | 3/11/2020 |
| **Signature of Reporting Person | Date |
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