-----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, MY2eGm+Wy/S34flyoJ1F8tjG9CMekbOzOMo5en33fWtVJmQCxbhXcNoz+APUbwvM lv369jVumbLJsdFM8CmJuw== 0000003327-96-000034.txt : 19960523 0000003327-96-000034.hdr.sgml : 19960523 ACCESSION NUMBER: 0000003327-96-000034 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960522 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALBERTO CULVER CO CENTRAL INDEX KEY: 0000003327 STANDARD INDUSTRIAL CLASSIFICATION: PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS [2844] IRS NUMBER: 362257936 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-10375 FILM NUMBER: 96570838 BUSINESS ADDRESS: STREET 1: 2525 ARMITAGE AVE CITY: MELROSE PARK STATE: IL ZIP: 60160 BUSINESS PHONE: 7084503039 MAIL ADDRESS: STREET 1: 2525 ARMITAGE AVENUE CITY: MELROSE PARK STATE: IL ZIP: 60160 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BEL APRIL 1994 GRANTOR ANNUITY TRUST CENTRAL INDEX KEY: 0000923128 STANDARD INDUSTRIAL CLASSIFICATION: [] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 2525 ARMITAGE AVENUE CITY: MELROSE PARK STATE: IL ZIP: 60160 BUSINESS PHONE: 7084503106 MAIL ADDRESS: STREET 1: 2525 ARMITAGE AVENUE CITY: MELROSE PARK STATE: IL ZIP: 60160 SC 13D/A 1 BEL SCHEDULE 13D AMEND NO 6 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. 6 )* ALBERTO-CULVER COMPANY (Name of Issuer) CLASS B COMMON STOCK, $.22 PAR VALUE PER SHARE (Title of Class of Securities) 013068101 (CUSIP Number) Marshall E. Eisenberg (312)269-8020 Bernice E. Lavin NEAL, GERBER & EISENBERG 2525 Armitage Avenue Two North LaSalle St., Suite 2200 Melrose Park, IL 60160 Chicago, IL 60602 (708) 450-3101 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 12, 1996 (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(b)(3) or (4), check the following box . Check the following box if a fee is being paid with the statement . (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) Note: Six copies of this Statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) 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 disclosure 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). (Continued on following page(s)) Page 1 of 7 Pages - ---------------------- ---------------------- CUSIP NO. 013068101 13D Page 2 of 7 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BERNICE E. LAVIN - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) (b) x - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS * Not applicable - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. citizen - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER 2,991,958 OF SHARES ------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 162,300 OWNED BY EACH ------------------------------------------------- 9 SOLE DISPOSITIVE POWER REPORTING 2,991,958 PERSON WITH ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 162,300 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,154,258 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * Excluded are 3,167,518 shares held by Lavin's spouse as trustee or co-trustee of trusts for his benefit. Lavin has no beneficial interest in such shares and beneficial interest in them is disclaimed. x - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11). 18.81% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON * IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - ---------------------- ---------------------- CUSIP NO. 013068101 13D Page 3 of 7 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BEL February 1996 Grantor Annuity Trust - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) (b) x - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS * Not applicable - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois Trust - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER 1,800,000 OF SHARES ------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 0 OWNED BY EACH ------------------------------------------------- 9 SOLE DISPOSITIVE POWER REPORTING 1,800,000 PERSON WITH ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,800,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * Not applicable - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11). 10.74% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON * 00 - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - ---------------------- ---------------------- CUSIP NO. 013068101 13D Page 4 of 7 Pages - ---------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BEL January 1995 Grantor Annuity Trust - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) (b) x - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS * Not applicable - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois Trust - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER 330,461 OF SHARES ------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 0 OWNED BY EACH ------------------------------------------------- 9 SOLE DISPOSITIVE POWER REPORTING 330,461 PERSON WITH ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 330,461 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * Not applicable. - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11). 1.97% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON * 00 - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - ---------------------- ---------------------- CUSIP NO. 013068101 13D Page 5 of 7 Pages - ---------------------- ---------------------- Item 1. Security and Issuer. Title of Class of Securities: Class B Common Stock, $.22 par value per share (the "shares") Name and Address of Issuer: Alberto-Culver Company (the "Company") 2525 Armitage Avenue Melrose Park, IL 60160 Item 2. Identity and Background. (a) Name of Person Filing: 1) Bernice E. Lavin ("Lavin") 2) BEL February 1996 Grantor Annuity Trust ("BEL Trust") (3) BEL January 1995 Grantor Annuity Trust ("BEL January Trust") (b) Address: 1), 2) and 3) c/o Bernice E. Lavin 2525 Armitage Avenue Melrose Park, IL 60160 c) Principal Business: 1) Lavin is a Director, Vice Chairman, Secretary and Treasurer of the Company 2) Trust Administration 3) Trust Administration d) Prior Criminal Convictions: None e) Prior Civil Proceedings With Respect to Federal or State Securities Laws: None f) Place of Organization: (1) U.S. citizen (2) Illinois trust (3) Illinois trust Item 3. Source and Amount of Funds or Other Consideration. Not applicable. On February 21, 1996, Lavin, as co-trustee of the BEL April, 1994 Grantor Annuity Trust, u/a/d 4/11/94, fbo Lavin (the "BEL April Trust"), transferred 140,267 shares to herself as beneficiary. Similarly, on February 21, 1996, Lavin, as co-trustee of the BEL January Trust, transferred 1,669,539 shares to herself as beneficiary. On February 21, 1996, Lavin individually transferred 1,800,000 shares to herself as co-trustee of the BEL Trust and transferred 9,806 to herself as trustee of the Bernice E. Lavin Trust, dated December 18, 1987, for her benefit (the "December Trust"). On April 12, 1996, Lavin, as co-trustee of the BEL April Trust, transferred 103,029, 103,028 and 103,029 shares to Carol L. Bernick ("Mrs. Bernick"), as trustee or co-trustee of the trusts for the benefit of her adult children, including Mrs. Bernick. Item 4. Purpose of Transaction. Transfers of securities were caused by trust funding and for the Lavin family's estate planning rather than corporate purposes. The transfers were not undertaken for purposes of effecting any of the actions listed in this item. Item 5. Interest in Securities of the Issuer. (a) (i) Amount of Class B Common Stock Beneficially Owned: 3,154,258 shares total: 534,633 shares as trustee of the December Trust; 330,461 as co- trustee of the BEL January Trust; 1,800,000 shares as co-trustee of the BEL Trust; 12,000 shares by Lavin Family Foundation (a charitable foundation of which Lavin is the Treasurer and a Director); and 150,300 shares and 326,864 shares, respectively, as co-trustee of a trust and sole trustee of trusts, respectively, for the benefit of Lavin's children and grandchildren. - ---------------------- ---------------------- CUSIP NO. 013068101 13D Page 6 of 7 Pages - ---------------------- ---------------------- (ii) Percentage of Class B Common Stock: 18.81% total: 3.19% as trustee of the December Trust; 1.97% as co-trustee of the BEL January Trust; 10.74% as co-trustee of the BEL Trust; .1% by Lavin Family Foundation; and .9% and 1.9%, respectively, as co-trustee of a trust and sole trustee of trusts, respectively, for the benefit of Lavin's children and grandchildren (based upon 16,766,240 shares outstanding as of March 31, 1996). (b) Number of Shares as to Which Such Person Has: BEL January Lavin BEL Trust Trust (i) Sole power to vote: 2,991,958(1) 1,800,000(1) 330,461(1) (ii) Shared power to vote: 162,300(2) -0- -0- (iii) Sole power to dispose: 2,991,958(1) 1,800,000(1) 330,461(1) (iv) Shared power to dispose 162,300(2) -0- -0- 1 The above shares shown as owned by the BEL Trust and BEL January Trust are reflected as sole power of Lavin and the trust because Lavin has sole voting and investment power with respect to the shares held by the trust. 534,633 shares are held as trustee of the December Trust and 326,864 shares are held as sole trustee of trusts for the benefit of Lavin's children and grandchildren. 2 12,000 shares are held by Lavin Family Foundation; and 150,300 shares are held as co-trustee of a trust for the benefit of one of Lavin's adult children. Lavin shares the power to vote and dispose of the 12,000 shares held by Lavin Family Foundation with her husband, Leonard H. Lavin, and Mrs. Bernick. Lavin is co-trustee together with Mrs. Bernick of a trust for the benefit of Mrs. Bernick which holds 150,300 shares. The following information is presented with respect to Leonard H.Lavin and Bernick, respectively. (i) Name of Person: Leonard H. Lavin Carol L. Bernick (ii) Address: 2525 Armitage Avenue Melrose Park, Illinois 60160 (iii) Principal Business: Leonard H. Lavin, an individual, is a Director and the Chairman of the Company. Carol L. Bernick, an individual, is a Director and Executive Vice President and Assistant Secretary of the Company and the President of Alberto-Culver USA, Inc., a subsidiary of the Company. (iv) Prior Criminal None Convictions: (v) Prior Civil Proceedings None with Respect to Federal or State Securities Laws: - ---------------------- ---------------------- CUSIP NO. 013068101 13D Page 7 of 7 Pages - ---------------------- ---------------------- (vi) Place of Organization: U.S. Citizen An additional 3,167,518 shares are held by Lavin's husband as trustee or co-trustee of trusts for his benefit. Lavin has no beneficial interest in such shares and beneficial ownership of them is disclaimed. The shares owned by Lavin and the percentage holdings specified herein also do not reflect the 278,044 shares of Class A common stock of the Company held by Lavin Family Foundation, or 50,100 shares and 217,240 shares of the Company Class A common stock, respectively, held by Lavin solely in her capacity as co-trustee of a trust and sole trustee of trusts, respectively, for the benefit of Lavin's children and grandchildren. (c) None, except as indicated in Item 3. (d) None. (e) On February 21, 1996, the BEL January Trust ceased to hold greater than 5% of a class of securities. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None. Item 7. Material to be Filed as Exhibits. None. 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: May 20, 1996 Signature: /s/ Bernice E. Lavin Name/Title: Bernice E. Lavin, individually; as co-trustee of the BEL February 1996 Grantor Annuity Trust; as co-trustee of the BEL January 1995 Grantor Annuity Trust; as co-trustee of another trust; and as sole trustee of trusts for the benefit of her children and grandchildren -----END PRIVACY-ENHANCED MESSAGE-----