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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
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1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s)
Finley, Terrance G. 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, Senior Vice President -
- ------------------------------------------- Date of Original Merchandising
(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
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TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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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)
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Common Stock, $.01 par value (1) (1) (1) 2,488 D
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*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)
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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
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Non-Incentive $5.875 1/30/98 (A) 45,000 (2) 1/30/04 Common 45,000
Stock Options Stock
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Non-Incentive $5.75 (1) (1) (1) 1/24/03 Common 40,000
Stock Options Stock
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Non-Incentive $8.00 (1) (1) (1) 1/30/02 Common 15,000
Stock Options Stock
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Non-Incentive $14.50 (1) (1) (1) 1/27/01 Common 13,000
Stock Options Stock
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Non-Incentive $10.00 (1) (1) (1) 12/23/99 Common 13,000
Stock Options Stock
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Non-Incentive $6.38 (1) (1) (1) 2/24/99 Common 8,000
Stock Options Stock
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Non-Incentive $6.50 (1) (1) (1) 9/17/98 Common 7,000
Stock Options Stock
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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)
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Non-Incentive 45,000 D
Stock Options
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Non-Incentive 40,000 D
Stock Options
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Non-Incentive 15,000 D
Stock Options
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Non-Incentive 13,000 D
Stock Options
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Non-Incentive 13,000 D
Stock Options
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Non-Incentive 8,000 D
Stock Options
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Non-Incentive 7,000 D
Stock Options -------
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141,000 D
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Explanation of Responses:
1. Previously reported.
2. 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/ TERRANCE G. FINLEY 3/14/98
SEE 18 U.S.C. 1001 AND 15 U.S.C. 78FF(a). ------------------------------- -------
TERRANCE G. FINLEY 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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