-----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, DErMARMV4T6XTTJ01PpUkru1LqTKbZXDtAoqPUJBSylY3EzctcrwM7NGHV6aGpvU CPo1W+vhjWbPvnv9jy0WeA== 0000950144-01-000032.txt : 20010122 0000950144-01-000032.hdr.sgml : 20010122 ACCESSION NUMBER: 0000950144-01-000032 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010103 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLICA INC CENTRAL INDEX KEY: 0000217084 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC HOUSEWARES & FANS [3634] IRS NUMBER: 591028301 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-33434 FILM NUMBER: 1501094 BUSINESS ADDRESS: STREET 1: 5980 MIAMI LAKES DR CITY: MIAMI LAKES STATE: FL ZIP: 33014 BUSINESS PHONE: 3053622611 MAIL ADDRESS: STREET 1: 5980 MIAMI LAKES DRIVE CITY: MIAMI LAKES STATE: FL ZIP: 33014 FORMER COMPANY: FORMER CONFORMED NAME: WINDMERE DURABLE HOLDINGS INC DATE OF NAME CHANGE: 19970224 FORMER COMPANY: FORMER CONFORMED NAME: WINDMERE CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: SAVE WAY INDUSTRIES INC DATE OF NAME CHANGE: 19830815 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FRIEDSON DAVID M CENTRAL INDEX KEY: 0001116634 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 5980 MIAMI LAKES DRIVE CITY: MIAMI LAKES STATE: FL ZIP: 33014 BUSINESS PHONE: 3053622611 MAIL ADDRESS: STREET 1: 5980 MIAMI LAKES DRIVE CITY: MIAMI LAKES STATE: FL ZIP: 33014 SC 13D/A 1 g66241sc13da.txt APPLICA INCORPORATED ON BEHALF OF DAVID FRIEDSON 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENT THERETO FILED PURSUANT TO RULE 13d-2(a) (AMENDMENT NO. 1) APPLICA INCORPORATED - -------------------------------------------------------------------------------- (Name of issuer) COMMON STOCK, $.10 PAR VALUE - -------------------------------------------------------------------------------- (Title of class of securities) 03815A 10 6 - -------------------------------------------------------------------------------- (CUSIP number) LISA R. CARSTARPHEN, VICE PRESIDENT - LEGAL AFFAIRS APPLICA INCORPORATED 5980 MIAMI LAKES DRIVE MIAMI LAKES, FLORIDA 33014 (305) 816-6025 - -------------------------------------------------------------------------------- (Name, address and telephone number of person authorized to receive notices and communications) December 6, 2000 - -------------------------------------------------------------------------------- (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. (Continued on following pages.) (Page 1 of 5 Pages) 2 - ----------------------- --------------------- CUSIP NO. 03815A 10 6 SCHEDULE 13D PAGE 2 OF 5 PAGES - ----------------------- --------------------- - ------- ------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) DAVID M. FRIEDSON - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 SOURCE OF FUNDS See Item 3. - ------- ------------------------------------------------------------------------ 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 - ----------------------------------- ------ ------------------------------------- NUMBER OF 7 SOLE VOTING POWER 2,503,596 SHARES BENEFICIALLY ------ ------------------------------------- OWNED BY 8 SHARED VOTING POWER 0 EACH REPORTING ------ ------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 2,503,596 ------ ------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------- ------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,503,596 - ------- ------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - ------- ------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.0% - ------- ------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON IN - ------- ------------------------------------------------------------------------ 3 Page 3 of 5 1. SECURITY AND ISSUER. This Amendment No. 1 to Schedule 13D relates to the Common Stock, par value $.10 per share (the "Common Stock"), of Applica Incorporated ("Applica"). The executive offices of Applica are located at 5980 Miami Lakes Drive, Miami Lakes, Florida 33014. 2. IDENTITY AND BACKGROUND. (a) Name: David M. Friedson (b) Business Address: 5980 Miami Lakes Drive, Miami Lakes, Florida 33014 (c) Present Principal Occupation: Chairman of the Board, Chief Executive Officer and President of Applica Incorporated. Applica is located at 5980 Miami Lakes Drive, Miami Lakes, Florida 33014. (d) The Reporting Person has not been convicted in a criminal proceeding in the last five years. (e) During the last five years, the Reporting Person has not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction which resulted in him being 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 finding any violation with respect to such laws. (f) The Reporting Person is a United States citizen. 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. On December 6, 2000, the Reporting Person was granted an option to acquire 500,000 shares of Common Stock at an exercise price per share of $3.625, which is immediately exercisable. The options were granted to the Reporting Person in his capacity as an executive officer of Applica. In addition, the Reporting Person made the following open market purchases with personal funds: Date No. of Shares Acquired Price Per Share ---- ---------------------- --------------- 12/6/00 3,000 $3.8125 17,000 $3.8750 10,000 $3.8675 12/7/00 20,000 $3.8750 10,000 $3.8125 12/12/00 2,000 $3.50 8,000 $3.5625 10,000 $3.75 10,000 $3.6875 4 Page 4 of 5 Date No. of Shares Acquired Price Per Share ---- ---------------------- --------------- 12/15/00 10,000 $3.6875 12/18/00 10,000 $3.3750 10,000 $3.4375 10,000 $3.3125 4. PURPOSE OF TRANSACTION. The Reporting Person acquired the shares of Common Stock for investment purposes and does not currently have any plans or proposals which relate to or would result in any of the events or transactions described in Item 4 (a) - (j) of Schedule 13D; provided, however, that the Reporting Person may, from time to time, acquire or dispose of shares of Common Stock in the open market or be granted or exercise stock options to acquire shares of Common Stock. 5. INTEREST IN SECURITIES OF ISSUER. (a) The Reporting Person has beneficial ownership of 2,503,596 shares of Common Stock, or 10.0% of the outstanding Common Stock of Applica (based on 23,099,381 shares of Common Stock outstanding as of January 1, 2001). Such shares include: o 26,370 shares of Common Stock held in a 401(k) Plan for the Reporting Person; and o 1,242,705 shares that the Reporting Person has the right to acquire upon the exercise of options exercisable within the next 60 days. Such shares do not include 379,835 shares that the Reporting Person has the right to acquire upon the exercise of stock options that are not exercisable within the next 60 days. (b) The Reporting Person has sole power to vote, or direct the vote, and sole power to dispose, or direct the disposition, of 2,503,596 shares of Common Stock and shared power to vote and shared power to dispose of 0 shares. (c) Not applicable. (d) Not applicable. (e) Not applicable. 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. See Item 3. 7. MATERIAL TO BE FILED AS EXHIBITS. None. 5 Page 5 of 5 SIGNATURE After reasonable inquiry and to the best of knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. January 2, 2001 --------------------- (Date) /s/ David M. Friedson --------------------- David M. Friedson -----END PRIVACY-ENHANCED MESSAGE-----