-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Q6wwApQ7y/WpnRo+OlQZYePqQ+UTpMmzLD7/MmHvg65lDgUCUGRteLIWJrRTLpzG PSfU5A6YaAWwwqRapbJrHg== 0000898432-00-000047.txt : 20000202 0000898432-00-000047.hdr.sgml : 20000202 ACCESSION NUMBER: 0000898432-00-000047 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20000113 GROUP MEMBERS: DORSEY R. GARDNER GROUP MEMBERS: HOLLYBANK INVESTMENTS LP/ GROUP MEMBERS: TIMOTHY G. CAFFREY SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BEI TECHNOLOGIES INC CENTRAL INDEX KEY: 0001041866 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INSTRUMENTS FOR MEASUREMENT, DISPLAY, AND CONTROL [3823] IRS NUMBER: 943274498 STATE OF INCORPORATION: DE FISCAL YEAR END: 0927 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-52411 FILM NUMBER: 506983 BUSINESS ADDRESS: STREET 1: ONE POST ST STREET 2: STE 2500 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4159564477 MAIL ADDRESS: STREET 1: ONE POST ST STREET 2: STE 2500 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HOLLYBANK INVESTMENTS LP/ CENTRAL INDEX KEY: 0000934299 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 043215509 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: KELSO INVESTMENT CO INC STREET 2: ONE INTERNATIONAL PLACE STE 2401 CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6173105110 MAIL ADDRESS: STREET 1: KELSO INVESTMENT CO INC STREET 2: ONE INTERNATIONAL PLACE STE 2401 CITY: BOSTON STATE: MA ZIP: 02111 FORMER COMPANY: FORMER CONFORMED NAME: DOT HILL SYSTEMS CORP/NY DATE OF NAME CHANGE: 19990910 FORMER COMPANY: FORMER CONFORMED NAME: HOLLYBANK INVESTMENTS LP DATE OF NAME CHANGE: 19941219 SC 13G/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-L(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (AMENDMENT NO. 2)* BEI TECHNOLOGIES, INC. (Name of Issuer) COMMON STOCK, $.01 PAR VALUE (Title of Class of Securities) 00005538P1 (CUSIP Number) JANUARY 1, 2000 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: /_/ Rule 13d-l(b) /X/ Rule 13d-l(c) /_/ Rule 13d-l(d) * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13G - --------------------------- ---------------------- CUSIP NO. 00005538P1 PAGE 2 OF 8 PAGES - --------------------------- ---------------------- - --------- ---------------------------------------------------------------------- NAME OF REPORTING PERSON 1 SS. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Hollybank Investment, LP - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)/_/ (b)/X/ - --------- - --------- ---------------------------------------------------------------------- 3 SEC USE ONLY - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------- ---------------------------------------------------------------------- ------- ----------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 599,700 ------- ----------------------------------------------------- ------- ----------------------------------------------------- BENEFICIALLY OWNED BY 6 SHARED VOTING POWER EACH REPORTING 0 ------- ----------------------------------------------------- ------- ----------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER 599,700 ------- ----------------------------------------------------- ------- ----------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 ------- ----------------------------------------------------- - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 599,700 - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES /_/ - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.0% (See Note 1) - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON PN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Note 1 - This Percentage is based on 7,434,506 shares of Common Stock outstanding as of November 30, 1999. SCHEDULE 13G - --------------------------- ---------------------- CUSIP NO. 00005538P1 PAGE 3 OF 8 PAGES - --------------------------- ---------------------- - --------- ---------------------------------------------------------------------- NAME OF REPORTING PERSON 1 SS. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Dorsey R. Gardner - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)/_/ (b)/X/ - --------- - --------- ---------------------------------------------------------------------- 3 SEC USE ONLY - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A - --------- ---------------------------------------------------------------------- ------- ----------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 52,000 **Please refer to Item 4, Page 6 for disclaimer of beneficial ownership ------- ------------------------------------------------------ ------- ------------------------------------------------------ BENEFICIALLY OWNED BY 6 SHARED VOTING POWER EACH REPORTING 0 ------- ------------------------------------------------------ ------- ------------------------------------------------------ PERSON WITH 7 SOLE DISPOSITIVE POWER 52,000 **Please refer to Item 4, Page 6 for disclaimer of beneficial ownership ------- ------------------------------------------------------ ------- ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 0 ------- ------------------------------------------------------ - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 52,000 **Please refer to Item 4, Page 6 for disclaimer of beneficial ownership - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES /X/ - -------- ----------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.7% (See Note 1) **Please refer to Item 4, Page 6 for disclaimer of beneficial ownership - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Note 1 - This Percentage is based on 7,434,506 shares of Common Stock outstanding as of November 30, 1999. SCHEDULE 13G - --------------------------- ---------------------- CUSIP NO. 00005538P1 PAGE 4 OF 8 PAGES - --------------------------- ---------------------- ITEM 1(a). NAME OF ISSUER: BEI Technologies, Inc., a Delaware corporation (the "Company"). ITEM I(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: One Post Street, Suite 2500, San Francisco, California 94104. ITEM 2(a). NAME OF PERSON FILING: The Persons filing this statement are Hollybank Investment, LP, a Delaware limited Partnership ("LP"), and Dorsey R. Gardner, a general partner of LP ("Gardner") and Timothy G. Caffrey, a general partner of LP ("Caffrey"). ITEM 2(b). ADDRESS OF PRINCIPAL OFFICES OR, IF NONE, RESIDENCE: The business address of Gardner and LP is P.O. Box 190240, Miami Beach, Florida 33119. The business address of Caffrey is One International Place, Suite 2401, Boston, Massachusetts 22110. ITEM 2(c). CITIZENSHIP: Hollybank Investment, LP - Delaware Dorsey R. Gardner - U.S.A. Timothy G. Caffrey - U.S.A. ITEM 2(d). TITLE OF CLASS OF SECURITIES: The title of the class of equity securities to which this statement relates is the Common Stock, par value $0.001 per share (the "Shares"), of the Company. ITEM 2(e). CUSIP NUMBER: 00005538P1 SCHEDULE 13G - --------------------------- ---------------------- CUSIP NO. 00005538P1 PAGE 5 OF 8 PAGES - --------------------------- ---------------------- ITEM 3. IF THE STATEMENT IS BEING FILED PURSUANT TO RULE 13d-l(b), OR 13d-2(b) OR (c), CHECK WHETHER THE FILING PERSON IS A: (a)/_/ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o); (b)/_/ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); (c)/_/ Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); (d)/_/ Investment company registered under Section 8 of the Investment Company Act of 1940 (15U.S.C. 80a-8); (e)/_/ An investment adviser in accordance with l3d-l(b)(I)(ii)(E); (f)/_/ An employee benefit plan or endowment fund in accordance with 13d- I (b)(I)(ii)(F); (g)/_/ A parent holding company or control person in accordance with 13d-l(b)(1)(ii)(G); (h)/_/ A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.1813); (i)/_/ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j)/_/ Group, in accordance with l3d-l(b)(l)(ii)(J). If this statement is filed pursuant to 13d-1(c), check this box. /X/ ITEM 4. OWNERSHIP: The information in Items 5-11 on the cover pages (pages 2 through 4) of this Schedule 13G is incorporated by reference. As of the date of this statement, LP is the beneficial owner of 599,700 Shares. Each Gardner and Caffrey, as a general partner of LP, may be deemed to beneficially own Shares beneficially owned by LP. Except to the extent of their interests as limited partners in LP, Gardner and Caffrey expressly disclaim such beneficial ownership and the filing of this statement shall not be construed as an admission that Gardner or Caffrey is the beneficial owner of the Shares owned by LP and covered by this statement. SCHEDULE 13G - --------------------------- ---------------------- CUSIP NO. 00005538P1 PAGE 6 OF 8 PAGES - --------------------------- ---------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person had ceased to be the beneficial owner of more than five percent of the class of securities, check the following /_/ ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not Applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not Applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not Applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not Applicable. ITEM 10. CERTIFICATION. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SCHEDULE 13G - --------------------------- ---------------------- CUSIP NO. 00005538P1 PAGE 7 OF 8 PAGES - --------------------------- ---------------------- SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: January 11, 2000 HOLLYBANK INVESTMENTS, LP BY: /s/ Timothy G. Caffrey Timothy G. Caffrey General Partner DORSEY R. GARDNER BY: /s/ Timothy G. Caffrey Timothy G. Caffrey, Attorney-in-Fact /s/ Timothy G. Caffrey Timothy G. Caffrey The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. ATTENTION. INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001). SCHEDULE 13G - --------------------------- ---------------------- CUSIP NO. 00005538P1 PAGE 8 OF 8 PAGES - --------------------------- ---------------------- EXHIBIT INDEX 99.1 Joint Filing Agreement - Filed herewith. 99.2 Power of Attorney - Incorporated by reference to Exhibit 99.2 to Amendment No. 1 to Schedule 13G filed electronically with the Commission on September 10, 1999 (Accession No. 0000898432-99-000914). EX-99.1 2 EXHIBIT 99.1 AGREEMENT Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required by Schedule 13G (or any amendment thereof) need be filed on their behalf with respect to the beneficial ownership of any equity securities of BEI Technologies, Inc. or any subsequent acquisitions or dispositions of equity securities of BEI Technologies, Inc. by any of the undersigned. Dated: January 11, 2000 HOLLYBANK INVESTMENTS, LP BY: /s/ Timothy G. Caffrey Timothy G. Caffrey General Partner DORSEY R. GARDNER BY: /s/ Timothy G. Caffrey Timothy G. Caffrey, Attorney-in-Fact /s/ Timothy G. Caffrey Timothy G. Caffrey -----END PRIVACY-ENHANCED MESSAGE-----