0000927016-01-503373.txt : 20011031
0000927016-01-503373.hdr.sgml : 20011031
ACCESSION NUMBER: 0000927016-01-503373
CONFORMED SUBMISSION TYPE: SC 13D
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20011029
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: ALLOY INC
CENTRAL INDEX KEY: 0001080359
STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-CATALOG & MAIL-ORDER HOUSES [5961]
IRS NUMBER: 043310676
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0131
FILING VALUES:
FORM TYPE: SC 13D
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-58053
FILM NUMBER: 1769113
BUSINESS ADDRESS:
STREET 1: 151 WEST 26TH STREET
STREET 2: 11TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10001
BUSINESS PHONE: 2122444307
MAIL ADDRESS:
STREET 1: 151 WEST 26TH STREET
STREET 2: 11TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10001
FORMER COMPANY:
FORMER CONFORMED NAME: ALLOY COM INC
DATE OF NAME CHANGE: 19990224
FORMER COMPANY:
FORMER CONFORMED NAME: ALLOY ONLINE INC
DATE OF NAME CHANGE: 19990309
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: DUCKWORTH DANIEL E & DUCKWORTH DIANNA J
CENTRAL INDEX KEY: 0001161398
STANDARD INDUSTRIAL CLASSIFICATION: []
FILING VALUES:
FORM TYPE: SC 13D
BUSINESS ADDRESS:
STREET 1: ONE COMPETITION WAY
CITY: VERNON
STATE: IN
ZIP: 47620
BUSINESS PHONE: 8128382850
MAIL ADDRESS:
STREET 1: ONE COMPETITION WAY
CITY: VERNON
STATE: IN
ZIP: 47620
SC 13D
1
dsc13d.txt
SCHEDULE 13D
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
Alloy, Inc.
------------------------------------------------------------
(Name of Issuer)
Common Stock
------------------------------------------------------------
(Title of Class of Securities)
019855105
------------------------------------------------------------
(CUSIP Number)
Marc D. Fine, Esq. - 221 N.W. Fifth Street., Second Floor,
Evansville, IN 47708 - 812-422-9444
--------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
9/28/01
-----------------------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of (S)(S) 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box. [ ]
NOTE: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See (S) 240.13d-7 for other
parties to whom copies are to be sent.
*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).
Page 1 of 5 pages
SCHEDULE 13D
----------------------- ---------------------
CUSIP NO. 019855105 PAGE 2 OF 5 PAGES
----------------------- ---------------------
------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS Daniel E. Duckworth and Dianna J. Duckworth,
husband and wife
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [_]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
SC
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
5 PURSUANT TO ITEMS 2(d) or 2(e) [_]
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
USA
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 2,081,037
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
0
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 2,018,037
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
0
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
2,081,037
------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12 [_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
7.65%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 2 of 5 pages
Item 1. Security and Issuer
-------------------
Common Stock
Alloy, Inc.
151 West 26th Street, 11th Floor
New York, NY 10001
Item 2. Identity and Background
-----------------------
(a) Daniel E. Duckworth and Dianna J. Duckworth
(b) One Competition Way, Mt. Vernon, Indiana 47620
(c) Daniel E. Duckworth and Dianna J. Duckworth - both employed by Dan's
Competition, Inc., a Delaware corporation, located at One Competition Way,
Mt. Vernon, Indiana 47620
(d) No
(e) No
(f) USA
Item 3. Source and Amount of Funds or Other Consideration
-------------------------------------------------
The shares were received directly from the Issuer as consideration for acquiring
all the outstanding stock of the company formerly owned by the Reporting Person.
Item 4. Purpose of Transaction
----------------------
The former company owned by the Reporting Person was merged into a subsidiary of
the Issuer. The shares reported here were issued to the Reporting Person as
consideration for the merger. The Reporting Person plans to hold (and sell) the
securities for investment purposes and has no present plans to attempt to effect
any change in the management or policies of the Issuer.
Item 5. Interest in Securities of the Issuer
------------------------------------
(a) 2,081,037 - 7.65% of the Common Stock of the Issuer
(b) Sole Voting Power - 100%
Shared Voting Power - 0%
Sole Dispositive Power - 100%
Shared Dispositive Power - 0%
(c) None
(d) N/A
Page 3 of 5 pages
(e) Not Applicable
Item 6. Contracts, Arrangements, Understandings or Relationships with
-------------------------------------------------------------
Respect to Securities of the Issuer
-----------------------------------
Agreement and Plan of Reorganization by and among Alloy, Inc., Alloy Acquisition
Sub, Inc., Dan's Competition, Inc., Daniel E. Duckworth and Dianna J. Duckworth,
dated as of September 28, 2001 (filed as Exhibit 2.1 to Alloy's current Report
on Form 8-K, filed with the Commission on October 15, 2001 and incorporated by
reference).
Item 7. Material to be Filed as Exhibits
--------------------------------
Agreement and Plan of Reorganization by and among Alloy, Inc., Alloy Acquisition
Sub, Inc., Dan's Competition, Inc., Daniel E. Duckworth and Dianna J. Duckworth,
dated as of September 28, 2001 (filed as Exhibit 2.1 to Alloy's current Report
on Form 8-K, filed with the Commission on October 15, 2001 and incorporated by
reference).
Page 4 of 5 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.
/s/ Daniel E. Duckworth /s/ Dianna J. Duckworth
------------------------ ------------------------
Daniel E. Duckworth Dianna J. Duckworth
October 29, 2001 October 29, 2001
------------------------ ------------------------
Date Date
Page 5 of 5 pages