0001025894-01-500273.txt : 20011018
0001025894-01-500273.hdr.sgml : 20011018
ACCESSION NUMBER: 0001025894-01-500273
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20011010
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: NIERENBERG DAVID
CENTRAL INDEX KEY: 0001040899
STANDARD INDUSTRIAL CLASSIFICATION: []
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: 19605 N E 8TH STREET
CITY: CAMAS
STATE: WA
ZIP: 98607
BUSINESS PHONE: 3606048600
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: ELDER BEERMAN STORES CORP
CENTRAL INDEX KEY: 0000032020
STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-DEPARTMENT STORES [5311]
IRS NUMBER: 310271980
STATE OF INCORPORATION: OH
FISCAL YEAR END: 0201
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-53669
FILM NUMBER: 1755433
BUSINESS ADDRESS:
STREET 1: 3155 ELBEE RD
CITY: DAYTON
STATE: OH
ZIP: 45439
BUSINESS PHONE: 9372962700
MAIL ADDRESS:
STREET 1: 3155 EL BEE ROAD
CITY: DAYTON
STATE: OH
ZIP: 45439
FORMER COMPANY:
FORMER CONFORMED NAME: ELDER & JOHNSTON CO
DATE OF NAME CHANGE: 19670823
SC 13D/A
1
d3e13110.txt
AMENDMENT NO. 5 TO SCHEDULE 13D
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 5 )*
-----
THE ELDER-BEERMAN STORES CORP.
--------------------------------------------------------------------------------
(Name of Issuer)
COMMON
--------------------------------------------------------------------------------
(Title of Class of Securities)
284 470-10-1
------------------------------
(CUSIP Number)
David Nierenberg, The D3 Family Fund, 19605 NE 8th St., Camas, WA 98607
360-604-8600
------------------------------------------------------------------------------
(Name, Address and Telephone Number
of Person Authorized to Receive
Notices and Communications)
10/3/01
-------------------------------
(Date of Event which Requires
Filing of this Statement)
*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 the disclosures provided in a prior cover page.
The information required in 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).
1 of 12
SCHEDULE 13D
------------
CUSIP No. 284 470-10-1 Page 2 of 12
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
The D3 Family Fund, L.P. (David Nierenberg is President of the General
Partner, which is Nierenberg Investment Management Company.)
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Washington
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
650,500 common shares (5.7%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
650,500
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Aggregate amount owned is 680,000 shares (6.0%)
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.0%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------
SCHEDULE 13D
------------
CUSIP No. 284 470-10-1 Page 3 of 12
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Haredale, Ltd.
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
The Bahamas
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
20,000 common shares (0.2%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
20,000
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Aggregate amount owned is 680,000 shares (6.0%)
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.0%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------
SCHEDULE 13D
------------
CUSIP No. 284 470-10-1 Page 4 of 12
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
James Henry Hildebrandt
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Canada
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
6,500 common shares (0.1%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
6,500
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Aggregate amount owned is 680,000 shares (6.0%)
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.0%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------
SCHEDULE 13D
------------
CUSIP No. 284 470-10-1 Page 5 of 12
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Toxford Corporation
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Channel Islands, British Isles
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
3,000 common shares (0.0%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
3,000
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Aggregate amount owned is 680,000 shares (6.0%)
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.0%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------
SCHEDULE 13D
------------
CUSIP No. 284 470-10-1 Page 6 of 12
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
The Nierenberg Family 1993 Trust
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Washington
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
0
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
0
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Aggregate amount owned is 680,000 shares (6.0%)
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.0%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
OO
--------------------------------------------------------------------------
Page 7 of 12
Item 1. Security and Issuer
Common stock of The Elder-Beerman Stores Corp. (EBSC),
3155 El-Bee Road, Dayton, Ohio 45439.
Item 2. Identity and Background
The D3 Family Fund, L.P., a Washington State partnership, whose
principal business is investing in the equities of undervalued
public micro-cap companies. Located at 19605 N.E. 8th St., Camas,
Washington 98607. No convictions or administrative proceedings as
described in Item 2(d) and (e).
Item 3. Source and Amount of Funds or Other Consideration
Source of funds is money invested in the partnership by its limited
partners.
Item 4. Purpose of Transaction
Investment.
Item 5. Interest in Securities of the Issuer
(a,b) D3 owns, and has sole voting and dispositive power over, 650,500
common shares of EBSC (5.7%). In addition, 29,500 more common shares of
EBSC are owned by three foreign investors whose funds are managed by
Mr. Nierenberg: Haredale, a Bahamian corporation which owns 20,000
shares; James Henry Hildebrandt, a Canadian citizen who owns 6,500
shares; and Toxford Corporation, a Channel Islands corporation which
owns 3,000 shares.
(c) 10/3 sold 100,000 @ 3.55
10/9 sold 50,000 @ 3.15
(d) N/A
(e) N/A
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer
N/A for D3.
Item 7. Material to be Filed as Exhibits
N/A
Page 8 of 12
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.
October 10, 2001 DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
President
Nierenberg Investment Management
Company, Inc., the General Partner
Of The D3 Family Fund, L.P.
Page 9 of 12
Item 1. Security and Issuer
Common stock of The Elder-Beerman Stores Corp. (EBSC),
3155 El-Bee Road, Dayton, Ohio 45439.
Item 2. Identity and Background
(a) Haredale Ltd., a Bahamian corporation.
(b) P.O. Box N-4465, Nassau, New Providence, The Bahamas.
(c) Haredale is in the investment business at the address above.
(d) None
(e) None
(f) The Bahamas.
Item 3. Source and Amount of Funds or Other Consideration
Haredale owns, and Mr. Nierenberg has sole voting and dispositive
power over, its 20,000 shares.
Item 4. Purpose of Transaction
Same as Item 4 on Page 7.
Item 5. Interest in Securities of the Issuer
(a,b) Haredale owns, and Mr. Nierenberg has sole voting and
dispositive power over, its 20,000 shares.
(c) None
(d) N/A
(e) N/A
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer
Haredale pays Mr. Nierenberg an annual management fee and a share
of its net profits for his personal management of its accounts.
Item 7. Material to be Filed as Exhibits
N/A
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.
October 10, 2001 DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
Authorized to trade for
Haredale, Ltd.
Page 10 of 12
Item 1. Security and Issuer
Common stock of The Elder-Beerman Stores Corp. (EBSC),
3155 El-Bee Road, Dayton, Ohio 45439.
Item 2. Identity and Background
(a) James Henry Hildebrandt, an individual who is a citizen of Canada,
resident in Hong Kong.
(b) c/o Bain & Company, 33rd Floor The Center, 99 Queen's Road Central
Hong Kong.
(c) Mr. Hildebrandt is in the management consulting business.
(d) None
(e) None
(f) Canada
Item 3. Source and Amount of Funds or Other Consideration
Mr. Hildebrandt owns, and Mr. Nierenberg has sole voting and
dispositive power over, his 6,500 shares.
Item 4. Purpose of Transaction
Same as Item 4 on Page 7.
Item 5. Interest in Securities of the Issuer
(a,b) Mr. Hildebrandt owns, and Mr. Nierenberg has sole voting and
dispositive power over, his 6,500 shares.
(c) None
(d) N/A
(e) N/A
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer
Mr. Hildebrandt pays Mr. Nierenberg an annual management fee and a
share of its net profits for his personal management of its accounts.
Item 7. Material to be Filed as Exhibits
N/A
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.
October 10, 2001 DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
Authorized to trade for
James Henry Hildebrandt
Page 11 of 12
Item 1. Security and Issuer
Common stock of The Elder-Beerman Stores Corp. (EBSC),
3155 El-Bee Road, Dayton, Ohio 45439.
Item 2. Identity and Background
(a) Toxford Corporation, a Channel Islands corporation.
(b) P.O. Box 3048, St. Andrews House, Le Bordage, St. Peter Port,
Guernsey, Channel Islands, British Isles.
(c) Toxford Corporation is in the investment business at the address
above.
(d) None
(e) None
(f) Channel Islands, British Isles.
Item 3. Source and Amount of Funds or Other Consideration
Toxford Corporation owns, and Mr. Nierenberg has sole voting and
dispositive power over, its 3,000 shares.
Item 4. Purpose of Transaction
Same as Item 4 on Page 7.
Item 5. Interest in Securities of the Issuer
(a,b) Toxford Corporation owns, and Mr. Nierenberg has sole voting
and dispositive power over, its 3,000 shares.
(c) None
(d) N/A
(e) N/A
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer
Toxford Corporation pays Mr. Nierenberg an annual management fee and a
share of its net profits for his personal management of its accounts.
Item 7. Material to be Filed as Exhibits
N/A
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.
October 10, 2001 DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
Authorized to trade for
Toxford Corporation
Page 12 of 12
Item 1. Security and Issuer
Common stock of The Elder-Beerman Stores Corp. (EBSC),
3155 El-Bee Road, Dayton, Ohio 45439.
Item 2. Identity and Background
(a) The Nierenberg Family 1993 Trust, a revocable trust.
(b) 19605 N.E. 8th Street, Camas, Washington 98607
(c) A Trust
(d) None
(e) None
(f) United States
Item 3. Source and Amount of Funds or Other Consideration
Shares were purchased using bank borrowings.
Item 4. Purpose of Transaction
Same as Item 4 on Page 7.
Item 5. Interest in Securities of the Issuer
(a,b) 0
(c) 8/20 sold 800 @ 4
8/23 sold 8,000 @ 4
9-5 sold 39,000 @ 4
(d) N/A
(e) N/A
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer
N/A
Item 7. Material to be Filed as Exhibits
N/A
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.
October 10, 2001 DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
Authorized to trade for
The Nierenberg Family 1993 Trust