SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported) December 15, 1998
ANNTAYLOR, INC.
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(Exact name of registrant as specified in its charter)
Delaware 1-11980 51-0297083
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(State or other (Commission (I.R.S. Employer Identification
jurisdiction of File Number) Number)
incorporation)
142 West 57th Street, New York, NY 10019
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(Address of principal executive offices) (Zip Code)
(212) 541-3300
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(Registrant's telephone number, including area code)
N/A
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(Former name or former address, if changed since last report)
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ITEM 5. Other Events
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Plaintiffs Appeal of the Court's Dismissal of Novak v. Kasaks et al.
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On or about December 15, 1998, the plaintiffs in the purported class
action lawsuit captioned Novak v. Kasaks, et. al., No. 96 CIV 3073 (S.D.N.Y.
1996), filed a notice of appeal to the U.S. Court of Appeals, Second Circuit,
seeking review of the decision issued in November by the U.S. District Court
for the Southern District of New York that dismissed, with prejudice, the
amended complaint filed by the plaintiffs in the referenced action.
As previously reported, the amended complaint was filed in April 1998
against AnnTaylor, Inc. ("Ann Taylor"), its parent company AnnTaylor Stores
Corporation ("ATSC"), present and former directors and officers of Ann
Taylor and ATSC, Merrill Lynch & Co. ("Merrill") and certain affiliates of
Merrill, and related to the period commencing February 3, 1994 through May 4,
1995. The amended complaint alleged causes of action under Section 10(b) and
Section 20(a) of the Securities Exchange Act of 1934, as amended, and Rule
10b-5 promulgated thereunder. The District Court found that the amended
complaint failed to state a claim upon which relief may be granted, and
failed to plead fraud with particularity and an inability to do so.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
registrant has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
AnnTaylor, Inc.
Date: December 17, 1998 By: /s/ Walter J. Parks
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Walter J. Parks
Senior Vice President -
Chief Financial Officer &
Treasurer
