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