-----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, OTP8CVlP2aUgVD9t1bEdOfDVP9CJevh+Guw5v0ieKopbFnTTJwCHEYilEWj63bb1 3S0V2xzI0xdYWHvf1Ju/+g== 0000912057-01-539244.txt : 20020410 0000912057-01-539244.hdr.sgml : 20020410 ACCESSION NUMBER: 0000912057-01-539244 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20011113 GROUP MEMBERS: ARDELLE NICOLOFF GROUP MEMBERS: CHARLES BARRY GROUP MEMBERS: CHARMEL ENTERPRISES, INC. GROUP MEMBERS: CHARMEL LIMITED PARTNERSHIP GROUP MEMBERS: DR. DEMETRE NICOLOFF GROUP MEMBERS: EDWARD S. ADAMS GROUP MEMBERS: MARC H. KOZBERG GROUP MEMBERS: MARVIN W. GOLDSTEIN GROUP MEMBERS: MELANIE BARRY GROUP MEMBERS: NICOLOFF PROPERTIES PARTNERSHIP GROUP MEMBERS: RICHARD FITZGERALD GROUP MEMBERS: ROBERT C. KLAS, SR. GROUP MEMBERS: ROBERT H. PAYMAR GROUP MEMBERS: THE TEMPLE COMPANY, L.L.P. GROUP MEMBERS: TIMOTHY R. DUOOS GROUP MEMBERS: VIRTUALFUND.COM, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CONE MILLS CORP CENTRAL INDEX KEY: 0000023304 STANDARD INDUSTRIAL CLASSIFICATION: BROADWOVEN FABRIC MILLS, COTTON [2211] IRS NUMBER: 560367025 STATE OF INCORPORATION: NC FISCAL YEAR END: 1229 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-33752 FILM NUMBER: 1785207 BUSINESS ADDRESS: STREET 1: 3101 N ELM ST STREET 2: PO BOX 26540 CITY: GREENSBORO STATE: NC ZIP: 27408 BUSINESS PHONE: 3363796220 MAIL ADDRESS: STREET 1: 3101 N ELM ST STREET 2: PO BOX 26540 CITY: GREENSBORO STATE: NC ZIP: 27415-6540 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KOZBERG MARC H CENTRAL INDEX KEY: 0001072668 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 90 SOUTH SEVENTH STREET STREET 2: SUITE 4400 CITY: MINNEAPOLIS STATE: MN ZIP: 55402-4115 BUSINESS PHONE: 6123767035 MAIL ADDRESS: STREET 1: 90 SOUTH SEVENTH STREET STREET 2: SUITE 4400 CITY: MINNEAPOLIS STATE: MN ZIP: 55402-4115 SC 13D/A 1 a2063494zsc13da.txt SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D AMENDMENT NO. 13 Under the Securities Exchange Act of 1934 CONE MILLS CORPORATION ---------------------- (Name of Issuer) COMMON STOCK, $.10 PAR VALUE ---------------------------- (Title of Class of Securities) 206814 10 5 ----------- (CUSIP Number) Albert A. Woodward, Esq. Leonard, Street And Deinard, P.A. 150 South Fifth Street Suite 2300 Minneapolis, Minnesota 55402 (612) 335-1500 -------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) NOVEMBER 9, 2001 ---------------- (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 [ ]. (Cover page continued on next 12 pages) SCHEDULE 13D ------------ CUSIP NO. 206814 10 5 - ------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only) MARC H. KOZBERG - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X --------------------- (b) - ------------------------------------------------------------------------------- (3) SEC use only.......................................... - ------------------------------------------------------------------------------- (4) Source of funds (see instructions) PF - ------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------------------------- (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 153,560 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 153,560 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 153,560 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)... 0.6% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------------------------- 2 SCHEDULE 13D ------------ CUSIP NO. 206814 10 5 - ------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only) MARVIN W. GOLDSTEIN - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X --------------------- (b) - ------------------------------------------------------------------------------- (3) SEC use only.......................................... - ------------------------------------------------------------------------------- (4) Source of funds (see instructions) PF - ------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------------------------- (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 348,500 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 348,500 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 348,500 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)... 0.8% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------------------------- 3 SCHEDULE 13D CUSIP NO. 206814 10 5 - ------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only) DR. DEMETRE NICOLOFF - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X --------------------- (b) - ------------------------------------------------------------------------------- (3) SEC use only.......................................... - ------------------------------------------------------------------------------- (4) Source of funds (see instructions) PF - ------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------------------------- (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 402,278 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 402,278 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 402,278 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)... 1.6% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------------------------- 4 SCHEDULE 13D ------------ CUSIP NO. 206814 10 5 - ------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only) EDWARD S. ADAMS - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X --------------------- (b) - ------------------------------------------------------------------------------- (3) SEC use only.......................................... - ------------------------------------------------------------------------------- (4) Source of funds (see instructions) PF - ------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------------------------- (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 29,700 (8) Shared voting power.............................. 601,400 (9) Sole dispositive power........................... 29,700 (10) Shared dispositive power........................ 601,400 - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 631,100 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)... 2.5% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------------------------- 5 SCHEDULE 13D ------------ CUSIP NO. 206814 10 5 - ------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons (entities only) TIMOTHY R. DUOOS - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X --------------------- (b) - ------------------------------------------------------------------------------- (3) SEC use only.......................................... - ------------------------------------------------------------------------------- (4) Source of funds (see instructions) PF - ------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------------------------- (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ -0- (8) Shared voting power.............................. 601,400 (9) Sole dispositive power........................... -0- (10) Shared dispositive power........................ 601,400 - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 601,400 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)... 2.4% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------------------------- 6 SCHEDULE 13D ------------ CUSIP NO. 206814 10 5
- ------------------------------------------------------------------------------- (1) Names of reporting persons............................ VIRTUALFUND.COM, INC. I.R.S. Identification Nos. of above persons (entities only)........................................... 41-1612861 - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X --------------------- (b) - ------------------------------------------------------------------------------- (3) SEC use only.......................................... - ------------------------------------------------------------------------------- (4) Source of funds (see instructions) WC - ------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------------------------- (6) Citizenship or place of organization.................. MN - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 601,400 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 601,400 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 601,400 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)... 2.4% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... CO - -------------------------------------------------------------------------------
7 SCHEDULE 13D ------------ CUSIP NO. 206814 10 5
- ------------------------------------------------------------------------------- (1) Names of reporting persons............................ NICOLOFF PROPERTIES PARTNERSHIP I.R.S. Identification Nos. of above persons (entities only)........................................... 41-1422867 - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X --------------------- (b) - ------------------------------------------------------------------------------- (3) SEC use only.......................................... - ------------------------------------------------------------------------------- (4) Source of funds (see instructions) WC - ------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------------------------- (6) Citizenship or place of organization.................. MN - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 121,400 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 121,400 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 121,400 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)... 0.5% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... PN - -------------------------------------------------------------------------------
8 SCHEDULE 13D ------------ CUSIP NO. 206814 10 5 - ------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons ARDELLE NICOLOFF (entities only)........................................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X --------------------- (b) - ------------------------------------------------------------------------------- (3) SEC use only.......................................... - ------------------------------------------------------------------------------- (4) Source of funds (see instructions) PF - ------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------------------------- (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 121,400 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 121,400 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 121,400 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)... 0.5% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------------------------- 9 SCHEDULE 13D ------------ CUSIP NO. 206814 10 5 - ------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons CHARLES BARRY (entities only)........................................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X --------------------- (b) - ------------------------------------------------------------------------------- (3) SEC use only.......................................... - ------------------------------------------------------------------------------- (4) Source of funds (see instructions) PF - ------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------------------------- (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 100,000 (8) Shared voting power.............................. 935,360 (9) Sole dispositive power........................... 100,000 (10) Shared dispositive power........................ 935,360 - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 1,035,360 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)... 4.0% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------------------------- 10 SCHEDULE 13D ------------ CUSIP NO. 206814 10 5 - ------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons MELANIE BARRY (entities only)........................................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X --------------------- (b) - ------------------------------------------------------------------------------- (3) SEC use only.......................................... - ------------------------------------------------------------------------------- (4) Source of funds (see instructions) PF - ------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------------------------- (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ -0- (8) Shared voting power.............................. 793,200 (9) Sole dispositive power........................... -0- (10) Shared dispositive power........................ 793,200 - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 793,200 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)... 3.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - ------------------------------------------------------------------------------- 11 SCHEDULE 13D ------------ CUSIP NO. 206814 10 5
- ------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons CHARMEL LIMITED PARTNERSHIP (entities only)........................................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X --------------------- (b) - ------------------------------------------------------------------------------- (3) SEC use only.......................................... - ------------------------------------------------------------------------------- (4) Source of funds (see instructions) WC - ------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------------------------- (6) Citizenship or place of organization.................. NV - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 793,200 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 793,200 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 793,200 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)... 3.1% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... PN - -------------------------------------------------------------------------------
12 SCHEDULE 13D CUSIP NO. 206814 10 5
- ------------------------------------------------------------------------------- (1) Names of reporting persons............................ I.R.S. Identification Nos. of above persons ROBERT C. KLAS, SR. (entities only)........................................... - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a) X --------------------- (b) - ------------------------------------------------------------------------------- (3) SEC use only.......................................... - ------------------------------------------------------------------------------- (4) Source of funds (see instructions) PF - ------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e). - ------------------------------------------------------------------------------- (6) Citizenship or place of organization.................. USA - ------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power................................ 461,827 (8) Shared voting power.............................. -0- (9) Sole dispositive power........................... 461,827 (10) Shared dispositive power........................ -0- - ------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 461,827 - ------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares (see instructions). - ------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11)... 1.4% - ------------------------------------------------------------------------------- (14) Type of reporting person (see instructions).......... IN - -------------------------------------------------------------------------------
13 INTRODUCTION The Holders originally filed a Schedule 13D relating to Cone Mills Corporation (the "Issuer") on December 16, 1998. The original filing was amended on January 19, 1999, February 16, 1999, March 9, 1999, June 16, 1999, September 30, 1999, November 4, 1999, March 9, 2000, July 14, 2000, December 22, 2000, March 28, 2001, April 26, 2001 and June 6, 2001. This filing is the thirteenth amendment to the original Schedule 13D filing. The Holder's responses to Items 1, 3, and 6 remain unchanged, and the Holder's hereby restate the information contained in the original filing and subsequent amendments thereto for those items. ITEM 2. IDENTITY AND BACKGROUND This statement is filed jointly by the individuals and entity identified below (collectively the "Holders"). There have been no changes in the background, occupations, or addresses of the Holders since the filing of the last Schedule 13D Amendment to which this filing is an amendment, except that (i) James A. Potter, Susan N. Potter and G. James Spinner have left the filing group and (ii) Nicoloff Properties Partnership, VirtualFund.com, Inc., Ardelle Nicoloff, Edward S. Adams and Timothy R. Duoos have joined the filing group, and (iii) except as indicated below, the address for all group members has changed to c/o Equity Securities Investment, Inc., 701 Xenia Avenue South, Suite 130, Golden Valley, MN 55416. 1. Marc H. Kozberg, President, Equity Investment Advisors 2. Dr. Demetre Nicoloff 3. Robert H. Paymar-c/o Dougherty Financial Group LLC 90 S 7th St. Suite 4400, Minneapolis, MN 55402 4. The Temple Company, L.L.P. 5. Charmel Limited Partnership 6. Charmel Enterprises, Inc. 7. Richard Fitzgerald 8. Charles Barry 9. Melanie Barry 10. Marvin W. Goldstein 11. Robert C. Klas, Sr. 12. Nicoloff Properties Partnership, 1492 Hunter Drive, Wayzata, MN 55391 13. VirtualFund.com, Inc., 6462 City West Parkway, Eden Prairie, MN 55344 14. Ardelle Nicoloff-Homemaker 15. Edward S. Adams-Mr. Adams is Professor of Law, University of Minnesota Law School, a principal of Equity Securities Investment, Inc. and a director of VirtualFund.com, Inc. 16. Timothy R. Duoos-Mr. Duoos is a self-employed business consultant and a director of VirtualFund.com, Inc. 14 ITEM 4. PURPOSE OF TRANSACTION. In addition to the Holders' prior disclosures in Item 4 to their original Schedule 13D and prior amendments thereto, Mr. Marc H. Kozberg has requested additional representation on the Issuer's board of directors for the Holders. Despite this request, the Holders continue to have confidence in the management of the Issuer and have no plan or proposal to effect any changes in the management of the Issuer. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Information with respect to the aggregate number, and percentage, of all outstanding Common Stock beneficially owned as of November 9, 2001 by each of the Holders is set forth below:
Number of Shares Percentage of Name of Common Stock Outstanding Shares ---- ---------------- ------------------ Marc H. Kozberg 153,560 0.6% Dr. Demetre Nicoloff 402,278 1.6% Robert H. Paymar 172,904 0.7% The Temple Company, L.L.P. 142,160 0.6% Charmel Limited Partnership 793,200 3.1% Charmel Enterprises, Inc. (2) 793,200 3.1% Richard Fitzgerald (1) 142,160 0.6% Charles Barry (1)(2)(6) 1,035,360 4.0% Melanie Barry (2) 793,200 3.1% Marvin W. Goldstein (5) 348,500 0.8% Robert C. Klas, Sr. 461,827 1.4% Nicoloff Properties Partnership 121,400 0.5% VirtualFund.com, Inc. 601,400 2.4% Ardelle Nicoloff (3) 121,400 0.5% Edward S. Adams (4) 631,100 2.5% Timothy R. Duoos (4) 601,400 2.4%
(1) Includes 142,160 shares of Common Stock owned by The Temple Company, L.L.P. (2) Includes 793,200 shares of Common Stock owned by Charmel Limited Partnership (3) Includes 121,400 shares of Common Stock owned by Nicoloff Properties Partnership, over which Ms. Nicoloff exercises voting and dispositive control. (4) Includes 601,400 share of Common Stock owned by VirtualFund.com, Inc., over which Messrs. Adams and Duoos exercise voting and dispositive control. (5) Includes 2,000 shares of Common Stock held in custodial accounts for which Mr. Goldstein is the custodian. (6) Includes 100,000 shares of Common Stock held by Wells Fargo Bank, as Trustee of the Twin Cities Fan & Blower Co. Profit Sharing Plan FBO Charles Barry. 15 The Holders' responses to Items 7 through 13 of the cover pages of the statement are incorporated herein by reference. Cover pages have been included in this filing only to the extent a Holder's beneficial ownership in the securities of the Issuer has changed since the most recent filing of a Schedule 13D amendment to which this statement is an amendment. According to the Issuer's most recent Form 10-K filing with the SEC, the Issuer had 25,586,133 shares of Common Stock outstanding as of July 24, 2001. The Holders, as of November 9, 2001, collectively own 3,326,929 shares of the Issuer's Common Stock, constituting approximately 13.0% of the Issuer's outstanding voting Common Stock. The following transactions by the Holders in Common Stock of the Issuer have not been previously reported by the Holders in a Schedule 13D amendment:
TYPE OF NUMBER OF PRICE/ NAME DATE TRANSACTION SHARES SHARE ---- ---- ----------- --------- ------ Marvin Goldstein 06/18/01 Buy 20,000 1.15 Charles Barry (2) 09/06/01 Buy 60,000 1.5916 Charles Barry (2) 09/07/01 Buy 25,500 1.5843 Charles Barry (2) 09/10/01 Buy 4,500 1.60 Charles Barry (2) 09/17/01 Buy 10,000 1.61 Dr. Demetre Nicoloff 10/31/01 Buy 1,800 1.72 Marc H. Kozberg 11/01/01 Received (1) 3,560 N/A(1) Robert C. Klas, Sr. 11/06/01 Buy 20,800 1.6474 Robert C. Klas, Sr. 11/07/01 Buy 1,900 1.65
(1) Received as compensation for serving on the Board of Directors of the Issuer. (2) Wells Fargo Bank, as Trustee of the Twin Cities Fan & Blower Co. Profit Sharing Plan FBO Charles Barry ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. Exhibit A - Agreement as to joint filing pursuant to Regulation Section 240.13d-1(f)(1)(iii). 16 SIGNATURES After reasonable inquiry, and to the best of each of the undersigned's knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: November 13, 2001 /s/ Marc H. Kozberg /s/ Richard Fizgerald - -------------------------------- --------------------------------- Marc H. Kozberg Richard Fitzgerald /s/ Demetre Nicoloff /s/ Charles Barry - -------------------------------- --------------------------------- Dr. Demetre Nicoloff Charles Barry /s/ Edward S. Adams /s/ Melanie Barry - -------------------------------- --------------------------------- Edward S. Adams Melanie Barry /s/ Robert H. Paymar /s/ Marvin W. Goldstein - -------------------------------- --------------------------------- Robert H. Paymar Marvin W. Goldstein /s/ Timothy R. Duoos /s/ Robert C. Klas, Sr. - -------------------------------- --------------------------------- Timothy R. Duoos Robert C. Klas, Sr. /s/ Ardelle Nicoloff NICOLOFF PROPERTIES PARTNERSHIP - -------------------------------- Ardelle Nicoloff By: /s/ Ardelle Nicoloff THE TEMPLE COMPANY, L.L.P. --------------------------------- Ardelle Nicoloff, general partner By: /s/ Charles Barry - -------------------------------- Charles Barry, a partner CHARMEL LIMITED PARTNERSHIP By: Charmel Enterprises, Inc. By: /s/ Charles Barry - -------------------------------- Charles Barry, President CHARMEL ENTERPRISES, INC. By: /s/ Charles Barry - -------------------------------- Charles Barry, President EX-99.A 3 a2063494zex-99_a.txt EXHIBIT 99.A EXHIBIT A AGREEMENT AS TO JOINT FILING Pursuant to Regulation Section 240.13d-1(f)(1)(iii), the undersigned acknowledge and agree that the attached Schedule 13D Amendment relating to Cone Mills Corporation is being filed on behalf of each of the undersigned. /s/ Marc H. Kozberg /s/ Charles Barry - --------------------------------- ---------------------------------------- Marc H. Kozberg Charles Barry /s/ Demetre Nicoloff /s/ Melanie Barry - --------------------------------- ---------------------------------------- Dr. Demetre Nicoloff Melanie Barry /s/ Edward S. Adams /s/ Marvin W. Goldstein - --------------------------------- ---------------------------------------- Edward S. Adams Marvin W. Goldstein /s/ Robert H. Paymar /s/ Robert C. Klas, Sr. - --------------------------------- ---------------------------------------- Robert H. Paymar Robert C. Klas, Sr. /s/ Timothy R. Duoos NICOLOFF PROPERTIES PARTNERSHIP - --------------------------------- Timothy R. Duoos By: /s/ Ardelle Nicoloff ------------------------------------- /s/ Ardelle Nicoloff Ardelle Nicoloff, general partner - --------------------------------- Ardelle Nicoloff THE TEMPLE COMPANY, L.L.P. By: /s/ Charles Barry ------------------------------ Charles Barry, a partner CHARMEL LIMITED PARTNERSHIP By: Charmel Enterprises, Inc. By: /s/ Charles Barry ------------------------------ Charles Barry, President CHARMEL ENTERPRISES, INC. By: /s/ Charles Barry ------------------------------ Charles Barry, President /s/ Richard Fizgerald - --------------------------------- Richard Fitzgerald -----END PRIVACY-ENHANCED MESSAGE-----