| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ELDER BEERMAN STORES CORP [ EBSC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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| 3. Date of Earliest Transaction
(Month/Day/Year)
10/24/2003 |
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| 4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 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 Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock, Par Value $.01 per share | 10/24/2003 | S | 887,887 | D | $8 | 0 | I | See footnotes ( 1 ) ( 2 ) ( 3 ) | ||
| Common Stock, Par Value $.01 per share | 10/24/2003 | S | 530,481 | D | $8 | 0 | I | See footnotes ( 1 ) ( 2 ) ( 4 ) | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
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| 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) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. The shares reported in this response were indirectly beneficially owned by PPM America, Inc., a Delaware corporation ("PPM America"), the designated filer of this joint filing on Form 4. The sole stockholder of PPM America is PPM Holdings, Inc., a Delaware corporation ("Holdings"). PPM America serves as an investment manager/adviser to each of PPM America Special Investments Fund, L.P., a Delaware limited partnership ("SIF I"), and PPM America Special Investments CBO II, L.P., a Delaware limited partnership ("CBO II"). PPM America Fund Management GP, Inc., a Delaware corporation ("SIF I GP"), serves as the general partner of SIF I, and PPM America CBO II Management Company, a Delaware general partnership ("CBO II GP"), serves as the general partner of CBO II. |
| 2. PPM MGP (Bermuda), Ltd., a company organized under the laws of Bermuda ("PPM Bermuda"), serves as the managing general partner of CBO II GP and Holdings is the sole stockholder of PPM Bermuda. This joint filing on Form 4 shall not be deemed an admission that any of PPM America, Holdings, SIF I GP, CBO II GP or PPM Bermuda was, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of any equity securities covered by this response. |
| 3. The shares reported in this response are directly beneficially owned by SIF I. |
| 4. The shares reported in this response are directly beneficially owned by CBO II. |
| PPM AMERICA, INC./IL, By: /s/ Brian Schinderle, Senior Managing Director | 10/24/2003 | |
| ** 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. | ||