-----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, WOXik1gtKhd2vZeIlIoaCeJ09TuYwx4cIxplP2DhAVsMK7BVSgwgS94vTc2Ytmkc UtWGlPn+PHD/pnUkiEI9jg== 0000911420-05-000069.txt : 20050211 0000911420-05-000069.hdr.sgml : 20050211 20050211133943 ACCESSION NUMBER: 0000911420-05-000069 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20050211 DATE AS OF CHANGE: 20050211 GROUP MEMBERS: WYNNEFIELD CAPITAL MANAGEMENT, LLC GROUP MEMBERS: WYNNEFIELD CAPITAL, INC. GROUP MEMBERS: WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. GROUP MEMBERS: WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I GROUP MEMBERS: WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COLLECTORS UNIVERSE INC CENTRAL INDEX KEY: 0001089143 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 330846191 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-59779 FILM NUMBER: 05596939 BUSINESS ADDRESS: STREET 1: COLLECTORS UNIVERSE, INC. STREET 2: 1921 E. ALTON AVENUE CITY: SANTA ANA STATE: CA ZIP: 92705 BUSINESS PHONE: 9495671234 MAIL ADDRESS: STREET 1: COLLECTORS UNIVERSE, INC. STREET 2: 1921 E. ALTON AVENUE CITY: SANTA ANA STATE: CA ZIP: 92705 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WYNNEFIELD PARTNERS SMALL CAP VALUE LP CENTRAL INDEX KEY: 0000899083 IRS NUMBER: 133688497 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE PENN PLAZA STREET 2: SUITE 4720 CITY: NEW YORK STATE: NY ZIP: 10119 BUSINESS PHONE: 2127600814 MAIL ADDRESS: STREET 1: ONE PENN PLAZA STREET 2: SUITE 4720 CITY: NEW YORK STATE: NY ZIP: 10119 SC 13G/A 1 d1025764.txt AMENDMENT NO. 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13G/A (Amendment No. 1) Collectors Universe, Inc. ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, $.001 Par Value Per Share ------------------------------------------------------------------------------- (Title of Class of Securities) 19421R200 ------------------------------------------------------------------------------ (CUSIP Number of Class of Securities) January 1, 2005 ------------------------------------------------------------------------------ (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-1(b) [X] RULE 13d-1(c) [ ] RULE 13d-1(d) CUSIP No. 19421R200 Page 2 of 9 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Wynnefield Partners Small Cap Value, L.P. 13-3688497 ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] Reporting person is affiliated with other persons. ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 40,842 Shares _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 40,842 Shares _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 40,842 Shares ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.7% of Common Stock ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 19421R200 Page 3 of 9 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Wynnefield Partners Small Cap Value, L.P. I 13-3953291 ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] Reporting person is affiliated with other persons. ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 42,475 Shares _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 42,475 Shares _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 42,475 Shares ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.7% of Common Stock ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 19421R200 Page 4 of 9 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Wynnefield Small Cap Value Offshore Fund, Ltd. (No IRS Identification No.) ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] Reporting person is affiliated with other persons. ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 27,142 Shares _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 27,142 Shares _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 27,142 Shares ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.4% of Common stock ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* CO ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 19421R200 Page 5 of 9 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Wynnefield Capital Management, LLC 13-4018186 ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] Reporting person is affiliated with other persons. ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION New York ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 83,317 Shares(1) _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 83,317 Shares(1) _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 83,317 Shares(1) ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.3% of Common Stock(1) ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* OO (Limited Liability Company) ________________________________________________________________________________ (1) Wynnefield Capital Management, LLC holds an indirect beneficial interest in these shares which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. and Wynnefield Partners Small Cap Value, L.P. I. CUSIP No. 19421R200 Page 6 of 9 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Wynnefield Capital, Inc. (No IRS Identification No.) ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] Reporting person is affiliated with other persons. ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 27,142 Shares(1) _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 27,142 Shares(1) _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 27,142 Shares(1) ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.4% of Common Stock(1) ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* CO ________________________________________________________________________________ (1) Wynnefield Capital, Inc. holds an indirect beneficial interest in these shares, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ITEM 1(a). Name of Issuer: Collectors Universe, Inc. ITEM 1(b). Address of Issuer's Principal Executive Offices: 1921 E. Alton Avenue, Santa Ana, California, 92705 ------------------------------------------------------------------- ITEM 2(a). Names of Persons Filing: Wynnefield Partners Small Cap Value, L.P. ("Partners") ------------------------------------------------------------------- Wynnefield Partners Small Cap Value, L.P. I ("Partners I") ------------------------------------------------------------------- Wynnefield Small Cap Value Offshore Fund, Ltd. ("Fund") ------------------------------------------------------------------- Wynnefield Capital Management, LLC ("WCM") ------------------------------------------------------------------- Wynnefield Capital, Inc. ("WCI") ------------------------------------------------------------------- ITEM 2(b). Address of Principal Business Office Or, If None, Residence: 450 Seventh Avenue, Suite 509, New York, New York 10123 ------------------------------------------------------------------- ITEM 2(c). Citizenship: Partners and Partners I are Delaware Limited Partnerships ------------------------------------------------------------------- Fund and WCI are Cayman Islands Companies ------------------------------------------------------------------- WCM is a New York Limited Liability Company ------------------------------------------------------------------- ITEM 2(d). Title of Class of Securities: Common Stock, $.001 Par Value Per Share ------------------------------------------------------------------- ITEM 2(e). CUSIP Number: 19421R200 ITEM 3. If this Statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or (c), check whether the person filing is: None of the reporting persons is an entity specified in Rule 13d-1(b)(1)(ii). ITEM 4. Ownership: (a) Amount beneficially owned by all reporting persons: 110,459 Shares (b) Percent of class: 1.8% of Common Stock (c) Number of shares as to which the reporting persons have: 7 (i) sole power to vote or to direct the vote: 110,459 Shares (ii) shared power to vote or to direct the vote (iii) sole power to dispose or to direct the disposition: 110,459 Shares (iv) shared power to dispose or to direct the disposition 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 has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: |X| 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. None of the reporting persons who have filed this schedule is a person, as defined in Rule 13d-1(b)(1)(ii), promulgated pursuant to the Securities Exchange Act of 1934. The persons filing this statement are identified in Item 2 hereof. ITEM 9. Notice of dissolution of group. See Exhibit 1. ITEM 10. Certifications. 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 or as a participant in any transaction having that purpose or effect. 8 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: February 10, 2005 WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. By: Wynnefield Capital Management, LLC, General Partner By: /s/ Nelson Obus ------------------------------------------ Nelson Obus, Managing Member WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I By: Wynnefield Capital Management, LLC, General Partner By: /s/ Nelson Obus ------------------------------------------ Nelson Obus, Managing Member WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD. By: Wynnefield Capital, Inc. By: /s/ Nelson Obus ------------------------------------------ Nelson Obus, President WYNNEFIELD CAPITAL MANAGEMENT, LLC By: /s/ Nelson Obus ------------------------------------------ Nelson Obus, Managing Member WYNNEFIELD CAPITAL, INC. By: /s/ Nelson Obus ------------------------------------------ Nelson Obus, President 9 EX-1 2 e1025764.txt AGREEMENT Exhibit 1 On October 22, 2004, the Reporting Persons, Shannon River Partners, LP, Shannon River Partners II, LP and Shannon River Management, LLC jointly filed a Statement of Beneficial Ownership on Schedule 13G (the "Original 13G") with respect to the issuer's common stock, par value $.001 per share (the "Common Stock"), reflecting Shannon River Management, LLC's relationship as Portfolio Manager with respect to the shares of Common Stock beneficially owned by the Reporting Persons. As of January 1, 2005, Shannon River Management, LLC ceased serving as Portfolio Manager with respect to the shares of Common Stock beneficially owned by the Reporting Persons. Therefore, all further filings, if any, required to be made by Shannon River Management, LLC and its affiliated entities with respect to the securities reported on the Original 13G will be made separately from all such filings required, if any, by the Reporting Persons. -----END PRIVACY-ENHANCED MESSAGE-----