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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)
Burdette, R. Lew 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, President of American Wholesale Book
- ------------------------------------------- Date of Original Company, Inc., a wholly-owned
(City) (State) (Zip) (Month/Year) subsidiary of the Company
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------------------ 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) 22,905 D
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Common Stock, $.01 par value (1) (1) 398 I (2)
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Common Stock, $.01 par value (1) (1) 398 I (3)
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Common Stock, $.01 par value (1) (1) 400 I (4)
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Common Stock, $.01 par value (1) (1) 723 D
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24,824
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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 50,000 (5) 1/30/04 Common 50,000
Stock Options Stock
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Non-Incentive $5.75 (1) (1) (1) 1/24/03 Common 50,000
Stock Options Stock
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Non-Incentive $8.00 (1) (1) (1) 1/30/02 Common 27,500
Stock Options Stock
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Non-Incentive $14.50 (1) (1) (1) 1/27/01 Common 25,000
Stock Options Stock
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Non-Incentive $10.00 (1) (1) (1) 12/23/99 Common 30,000
Stock Options Stock
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Non-Incentive $6.38 (1) (1) (1) 2/24/99 Common 22,000
Stock Options Stock
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Non-Incentive $6.50 (1) (1) (1) 9/17/98 Common 19,000
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 50,000 D
Stock Options
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Non-Incentive 50,000 D
Stock Options
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Non-Incentive 27,500 D
Stock Options
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Non-Incentive 25,000 D
Stock Options
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Non-Incentive 30,000 D
Stock Options
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Non-Incentive 22,000 D
Stock Options
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Non-Incentive 19,000 D
Stock Options -------
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223,500 D
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Explanation of Responses:
1. Previously reported.
2. Lew Burdette as custodian for his daughter Sarah Gabel Burdette.
3. Lew Burdette as custodian for his son Robert Ashford Burdette.
4. Held by spouse.
5. 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/ R. Lew Burdette 3/17/98
SEE 18 U.S.C. 1001 AND 15 U.S.C. 78FF(A). ------------------------------- -------
R. LEW BURDETTE 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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