-----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, V03cc82Uwk1vl1oNvM0Rl74d7xDCQFZLPaxW3kcYiP1AuKzcxA2bUN5N2z1t3IFx XY2XKzGkq2tHaLwUR4gK2Q== 0001041885-06-000002.txt : 20060112 0001041885-06-000002.hdr.sgml : 20060112 20060112170639 ACCESSION NUMBER: 0001041885-06-000002 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060112 DATE AS OF CHANGE: 20060112 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OGLEBAY NORTON CO /OHIO/ CENTRAL INDEX KEY: 0001129981 STANDARD INDUSTRIAL CLASSIFICATION: MINING, QUARRYING OF NONMETALLIC MINERALS (NO FUELS) [1400] IRS NUMBER: 341888342 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79361 FILM NUMBER: 06527636 BUSINESS ADDRESS: STREET 1: 1001 LAKESIDE AVENUE - 15TH FLOOR CITY: CLEVELAND STATE: OH ZIP: 44114 BUSINESS PHONE: 2168613300 MAIL ADDRESS: STREET 1: 1001 LAKESIDE AVENUE - 15TH FLOOR CITY: CLEVELAND STATE: OH ZIP: 44114 FORMER COMPANY: FORMER CONFORMED NAME: ON MINERALS CO INC DATE OF NAME CHANGE: 20001214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INGALLS & SNYDER VALUE PARTNERS L P CENTRAL INDEX KEY: 0000895302 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 61 BROADWAY STREET 2: C/O INGALLS & SNYDER CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: 2122697897 MAIL ADDRESS: STREET 1: C/O INGALLS & SNYDER STREET 2: 61 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10006 SC 13D/A 1 og13da_temp1.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment Number 1) OGLEBAY NORTON COMPANY - ------------------------------------------------------------------------------- - - (Name of Issuer) SERIES A CONVERTIBLE PREFERRED STOCK - ------------------------------------------------------------------------------- - - (Title of Class of Securities) 677007502 - ------------------------------------------------------------------------------- - - (CUSIP Number) 1/1/06 - ------------------------------------------------------------------------------- - - (Date of Event Which Requires Filing of this Statement Thomas O. Boucher, Jr. Ingalls & Snyder, LLC 61 Broadway New York, New York 10006 212-269-7800 - ------------------------------------------------------------------------------- - - (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) 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 ss.ss. 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 Rule 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). SCHEDULE 13D CUSIP No.: 677007502 Page 2 of 12 PAGES - ------------------------------------------------------------------------------- - - 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE (ENTITIES ONLY) INGALLS & SNYDER, LLC 13-5156620 - ------------------------------------------------------------------------------- - - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) [ ] (a) [] (b) - ------------------------------------------------------------------------------- - - 3 SEC USE ONLY - ------------------------------------------------------------------------------- - - 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) AF, OO - ------------------------------------------------------------------------------- - - 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- - - 6 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK STATE - ------------------------------------------------------------------------------- - - NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 2,036,242 - ------------------------------------------------------------------------------- - - 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,036,242 (see Item 5) - ------------------------------------------------------------------------------- - - 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - ------------------------------------------------------------------------------- - - 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 23.9% (see Item 5) - ------------------------------------------------------------------------------- - - 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) BD, IA - ------------------------------------------------------------------------------- - - SCHEDULE 13D CUSIP No.: 677007502 Page 3 of 12 PAGES - ------------------------------------------------------------------------------- - - 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE (ENTITIES ONLY) INGALLS & SNYDER VALUE PARTNERS, L.P. 13-3694561 - ------------------------------------------------------------------------------- - - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) [ ] (a) [] (b) - ------------------------------------------------------------------------------- - - 3 SEC USE ONLY - ------------------------------------------------------------------------------- - - 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) WC - ------------------------------------------------------------------------------- - - 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- - - 6 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK STATE - ------------------------------------------------------------------------------- - - NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 853,392 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER 10 SHARED DISPOSITIVE POWER 853,392 - ------------------------------------------------------------------------------- - - 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 853,392 (see item 5) - ------------------------------------------------------------------------------- - - 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - ------------------------------------------------------------------------------- - - 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.0% (see Item 5) - ------------------------------------------------------------------------------- - - 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - ------------------------------------------------------------------------------- - - SCHEDULE 13D CUSIP No.: 677007502 Page 4 of 12 PAGES - ------------------------------------------------------------------------------- - - 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE (ENTITIES ONLY) THOMAS O. BOUCHER, JR. - ------------------------------------------------------------------------------- - - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) [ ] (a) [] (b) - ------------------------------------------------------------------------------- - - 3 SEC USE ONLY - ------------------------------------------------------------------------------- - - 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) AF, PF - ------------------------------------------------------------------------------- - - 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- - - 6 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - ------------------------------------------------------------------------------- - - NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 8,839 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER 8,839 10 SHARED DISPOSITIVE POWER 96,000 - ------------------------------------------------------------------------------- - - 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 104,839 (see Item 5) - ------------------------------------------------------------------------------- - - 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - ------------------------------------------------------------------------------- - - 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.2% (see Item 5) - ------------------------------------------------------------------------------- - - 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - ------------------------------------------------------------------------------- - - SCHEDULE 13D CUSIP No.: 677007502 Page 5 of 12 PAGES - ------------------------------------------------------------------------------- - - 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE (ENTITIES ONLY) ROBERT L. GIPSON - ------------------------------------------------------------------------------- - - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) [ ] (a) [] (b) - ------------------------------------------------------------------------------- - - 3 SEC USE ONLY - ------------------------------------------------------------------------------- - - 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) AF, PF, OO - ------------------------------------------------------------------------------- - - 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- - - 6 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - ------------------------------------------------------------------------------- - - NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 35,365 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER 35,365 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- - - 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 35,365 (see Item 5) - ------------------------------------------------------------------------------- - - 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - ------------------------------------------------------------------------------- - - 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.4% (see Item 5) - ------------------------------------------------------------------------------- - - 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - ------------------------------------------------------------------------------- - - SCHEDULE 13D CUSIP No.: 677007502 Page 6 of 12 PAGES - ------------------------------------------------------------------------------- - - 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE (ENTITIES ONLY) STEVEN M. FOOTE - ------------------------------------------------------------------------------- - - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) [ ] (a) [] (b) - ------------------------------------------------------------------------------- - - 3 SEC USE ONLY - ------------------------------------------------------------------------------- - - 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) AF, PF, OO - ------------------------------------------------------------------------------- - - 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- - - 6 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - ------------------------------------------------------------------------------- - - NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 638,015 - ------------------------------------------------------------------------------- - - 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 638,015 - ------------------------------------------------------------------------------- - - 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - ------------------------------------------------------------------------------- - - 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.5% - ------------------------------------------------------------------------------- - - 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - ------------------------------------------------------------------------------- - - INTRODUCTION This Amendment No. 1 amends the Schedule 13D Statement dated February 10, 2005 (the "Statement") as follows: Item 2. Identity and Background Item 2 is amended and restated to read as follows: The Reporting Persons filing this statement are (i) Ingalls & Snyder, LLC, a New York limited liability company ("I&S"), (ii) Ingalls & Snyder Value Partners, L.P., a New York limited partnership ("ISVP"), (iii) Thomas O. Boucher, Jr., a citizen of the United States, (iv) Robert L. Gipson, a citizen of the United States, and (v) Steven M. Foote, a citizen of the United States. At 12/31/05 Messrs. Boucher and Gipson were the general partners of ISVP. Effective 1/1/06, Adam Janovic, a citizen of the United States, became a general partner of ISVP as well. Mr. Boucher is a Managing Director of I&S. Mr. Foote, Mr. Gipson and Mr. Janovic are Senior Directors of I&S. The other Managing Directors of I&S are: Lawton S. Lamb, William Reed Simmons, John J. Dougherty, Edward H. Oberst, Robert E. Belknap, H. Shepard Boone, Christopher R. Siege, Roger Liddell and Thomas P. DiTosto, each of whom is a citizen of the United States. The address of the principal business and principal office of each of the Reporting Persons, Mr. Janovic, and each of the Managing Director of I&S is 61 Broadway, New York, New York 10006. The principal business of I&S is acting as a broker/dealer and investment advisor. The principal business of ISVP is acting as a private investment partnership. The principal employment of each of Mr. Gipson, Mr. Foote and Mr. Janovic is acting as a Senior Director of I&S and of each Managing Director of I&S is acting in such capacity. None of the Reporting Persons, Mr. Janovic or the Managing Directors of I&S has, during the past five years, (a) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (b) been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or a finding of any violation with respect to such laws. Item 5. Interest in Securities of the Issuer Item 5 is amended and restated to read as follows: As of the close of business on January 1, 2006, I&S may be deemed to beneficially own 2,036,242 shares of the Convertible Preferred Stock (representing 23.9% of the class). These shares consist of 853,392 shares of the Convertible Preferred Stock as to which I&S shares dispositive power with ISVP, an investment partnership managed by I&S, and 1,182,850 shares of the Convertible Preferred Stock held in brokerage accounts at I&S,as to which I&S shares dispositive power with Messrs. Boucher, Foote, Janovic, Boone, DiTosto, Dougherty and Siege, who hold discretionary investment authority over certain of such brokerage accounts, and the applicable customer . As of the close of business on January 1, 2006, ISVP may be deemed to beneficially own 853,392 shares of the Convertible Preferred Stock (representing 10% of the class), as to which ISVP shares dispositive power with I&S and has sole voting power. As of the close of business on January 1, 2006, Mr. Boucher may be deemed to beneficially own 104,839 shares of the Convertible Preferred Stock, consisting of 8,839 shares of the Convertible Preferred Stock (representing 1.2% of the class) as to which Mr. Boucher has sole voting and dispositive power, and 96,000 shares held in brokerage accounts at I&S, as to which Mr. Boucher shares dispositive power with I&S and the applicable customers. As of the close of business on January 1, 2006, Mr. Gipson may be deemed to beneficially own 35,365 shares of the Convertible Preferred Stock (representing 0.4% of the class), over which he has sole voting and dispositive power. As of the close of business on January 1, 2006, Mr. Foote may be deemed to beneficially own 638,015 shares of the Convertible Preferred Stock (representing 7.5% of the class), consisting of 638,015 Shares as to which Mr. Foote shares dispositive power with I&S and the applicable customers. Each of Messrs. Boone, DiTosto, Dougherty, Janovic and Siege has discretionary investment authority over shares held in certain brokerage accounts at I&S and therefore shares dispositive power over these shares with I&S and the applicable customers. None of Messrs. Boone, DiTosto, Dougherty, Janovic and Siege is deemed to be the beneficial owner of more than five percent of the Convertible Preferred Stock. The holders of the brokerage accounts as to which Messrs. Boucher, Foote, Janovic, Boone, DiTosto, Dougherty or Siege has been granted discretionary investment authority referred to above may revoke such discretionary authority at any time and have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, shares of the Convertible Preferred Stock held in their respective brokerage account. As a result of a change in the structure of ISVP as of January 1, 2006, each of Messrs. Boucher and Gipson ceased to be the beneficial owner of shares held by ISVP and, as a result, ceased to be the beneficial owner of more than 5% of the Convertible preferred stock as of such date. SIGNATURES 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. Date: January 11, 2006 INGALLS & SNYDER, LLC By: /s/ Thomas O. Boucher, Jr. Thomas O. Boucher, Jr. Managing Director INGALLS & SNYDER VALUE PARTNERS, L.P. By: /s/ Thomas O. Boucher, Jr. Thomas O. Boucher, Jr. General Partner /s/ Thomas O. Boucher, Jr. Thomas O. Boucher, Jr. /s/ Robert L. Gipson Robert L. Gipson /s/ Steven M. Foote Steven M. Foote -----END PRIVACY-ENHANCED MESSAGE-----