-----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, UJfX6b2mWTuhrFuuTQIMnqIOHbnXjA+M90k/7VgM3f09YlFzpWYVrNdXIprHjiVp JtfGnMq30vV4rBqLZLgZZQ== 0000950131-01-001149.txt : 20010224 0000950131-01-001149.hdr.sgml : 20010224 ACCESSION NUMBER: 0000950131-01-001149 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010216 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 SEC ACT: SEC FILE NUMBER: 005-10375 FILM NUMBER: 1548577 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: LAVIN LEONARD H /IL/ CENTRAL INDEX KEY: 0000917992 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 2525 ARMITAGE AVE CITY: MELROSE PARK STATE: IL ZIP: 60160 SC 13D 1 0001.txt SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. ______)* ALBERTO-CULVER COMPANY - -------------------------------------------------------------------------------- (Name of Issuer) CLASS A COMMON STOCK, $.22 PAR VALUE PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 013068200 ----------------------------------------- (CUSIP Number) Marshall E. Eisenberg Leonard H. Lavin NEAL, GERBER & EISENBERG 2525 Armitage Avenue Two North LaSalle Street, Suite 2200 Melrose Park, Illinois 60160 Chicago, Illinois 60602 (708) 450-3100 (312) 269-8020 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 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 that is the subject of this Schedule 13D, and is filing this schedule because of Sections 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 240.13d-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). (Continued on following pages(s)) Page 1 of 7 Pages - --------------------- ------------------- CUSIP NO. 013068200 13D Page 2 of 7 Pages - --------------------- ------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Leonard H. Lavin - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 Not applicable - ------------------------------------------------------------------------------ CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 U.S. Citizen - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 922** SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 8,585,708** OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 922** PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 8,585,708** - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 8,586,630** - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [X] Excluded are 454,592 Class A shares and 740,304 Class B shares held by Lavin's spouse as trustee or co-trustee of trusts for the benefit of their children and grandchildren and 294 Class B shares held directly by Lavin's spouse. Lavin disclaims beneficial ownership of such shares. - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 27.25%** - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 IN - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS ** Includes shares of Class B Common Stock, $.22 par value per share ("Class B shares"), which are immediately convertible at the holder's option on a share-for-share basis into Class A shares. - --------------------- ------------------- CUSIP NO. 013068200 13D Page 3 of 7 Pages - --------------------- ------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bernice E. Lavin Trust, u/a/d 12/18/87 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 Not applicable - ------------------------------------------------------------------------------ CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 Illinois Trust - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 3,409,948** OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 3,409,948** - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 3,409,948** - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [X] Not applicable. - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 12.75% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 OO - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS ** Includes Class B shares which are immediately convertible at the holder's option on a share-for-share basis into Class A shares. - --------------------- ------------------- CUSIP NO. 013068200 13D Page 4 of 7 Pages - --------------------- ------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Leonard H. Lavin Trust, u/a/d 12/18/87 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 Not applicable - ------------------------------------------------------------------------------ CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 Illinois Trust - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 4,234,382** OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 4,234,382** - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 4,234,382** - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [X] Not applicable. - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 15.36% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 OO - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS ** Includes Class B shares which are immediately convertible at the holder's option on a share-for-share basis into Class A shares. - --------------------- ------------------- CUSIP NO. 013068200 13D Page 5 of 7 Pages - --------------------- ------------------- Item 1. Security and Issuer. Title of Class of Securities: Class A common stock, $.22 par value per share ("Class A 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) Leonard H. Lavin ("Lavin") (2) Bernice E. Lavin Trust, u/a/d 12/18/87 ("BEL Trust") (3) Leonard H. Lavin Trust, u/a/d 12/18/87 ("LHL Trust") (b) Address: c/o Leonard H. Lavin 2525 Armitage Avenue Melrose Park, IL 60160 (c) Principal Business: (1) Lavin, an individual, is a Director and Chairman 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) Citizenship/Organization: (1) U.S. Citizen (2) Illinois Trust (3) Illinois Trust Item 3. Source and Amount of Funds or Other Consideration. On February 9, 2001, Lavin as sole trustee of the LHL Trust, added his wife, Bernice E. Lavin, and his daughter, Carol L. Bernick ("Mrs. Bernick"), as co-trustees of the LHL Trust, each with shared voting and dispositive power over the shares of Company common stock held by the LHL Trust. Also on February 9, 2001, Bernice E. Lavin added Lavin and Mrs. Bernick as co-trustees of the BEL Trust, each with shared voting and dispositive power over the shares of Company common stock held by the BEL Trust. The BEL Trust owns 3,409,884 Class B shares and 64 Class A shares. The LHL Trust owns 4,234,382 Class B shares. On December 14, 2000, the Lavin Family Foundation (a charitable private foundation of which Lavin is the President and a Director) donated 28,000 Class A shares to the Lavin Family Supporting Foundation, a public charity. Item 4. Purpose of Transaction. The transactions were for the Lavin family's estate planning rather than corporate purposes. The transactions were not undertaken for purposes of effecting any of the actions listed in this item. - --------------------- ------------------- CUSIP NO. 013068200 13D Page 6 of 7 Pages - --------------------- ------------------- Item 5. Interest in Securities of the Issuer. (a) (i) Amount of Class A Shares Beneficially Owned: 8,586,630 shares total; 922 Class B shares held directly; 3,409,884 Class B shares and 64 Class A shares held as co-trustee of the BEL Trust; 4,234,382 Class B shares held as co-trustee of the LHL Trust; and 421,378 Class A shares and 520,000 Class B shares held by Lavin Family Foundation. (ii) Percentage of Class A Shares Beneficially Owned: 27.25% total: .004% held directly; 12.75% as co-trustee of the BEL Trust; 15.36% as co-trustee of the LHL Trust; and 3.95% by Lavin Family Foundation (based on 23,340,939 Class A shares outstanding as of December 1, 2000). ** Pursuant to Rule 13d-3(d)(1)(i) of the Securities Exchange Act of 1934, as amended, the following calculations assume that all Class B shares beneficially owned by Lavin have been converted into Class A shares. (b) Number of Class A Shares as to Which Lavin Has: Lavin BEL Trust LHL Trust ----- --------- --------- (i) Sole power to vote: 922/1/ 0 0 (ii) Shared power to vote: 8,585,708/2/ 3,409,948 4,234,382 (iii) Sole power to dispose: 922/1/ 0 0 (iv) Shared power to dispose: 8,585,708/2/ 3,409,948 4,234,382 /1/ The 922 shares held by Lavin and reflected as sole power to vote and sole power to dispose include 922 Class B shares held directly. /2/ The 8,585,708 shares held by Lavin and reflected as shared power to vote and shared power to dispose include 3,409,884 Class B shares and 64 Class A shares held by the BEL Trust; 4,234,382 Class B shares held by the LHL Trust; and 421,378 Class A shares and 520,000 Class B shares held by Lavin Family Foundation. Lavin shares the power to vote and dispose of the 4,234,382 Class B shares held by the LHL Trust, 3,409,884 Class B shares and the 64 Class A shares held by the BEL Trust, and 421,378 Class A shares and 520,000 Class B shares held by Lavin Family Foundation with his wife, Bernice E. Lavin, and Mrs. Bernick. The following information is presented with respect to Bernice E. Lavin and Mrs. Bernick, respectively: (i) Name of Person: (1) Bernice E. Lavin (2) Carol L. Bernick (ii) Address: (1),(2) 2525 Armitage Avenue Melrose Park, Illinois 60160 (iii) Principal Business: (1) Bernice E. Lavin, an individual, is a Director, Vice Chairman, Treasurer and Secretary of the Company. (2) Carol L. Bernick, an individual, is a Director, Vice Chairman and Assistant Secretary of the Company, and President Alberto-Culver North America, a division of the Company. - --------------------- ------------------- CUSIP NO. 013068200 13D Page 7 of 7 Pages - --------------------- ------------------- (iv) Prior Criminal Convictions: None. (v) Prior Civil Proceedings None. With Respect to Federal or State Securities Laws: (vi) Citizenship/Organization: U.S. Citizen. Excluded are 454,592 Class A shares and 740,304 Class B shares held by Lavin's spouse as trustee or co-trustee of trusts for the benefit of their children and grandchildren and 294 Class B shares held directly by Lavin's spouse. Lavin disclaims beneficial ownership of such shares. (c) None, except as described in Item 3 above. (d) None. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None. Item 7. Material to be Filed as Exhibits. None. 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. Date: February 14, 2001 Signature: /s/ Leonard H. Lavin ------------------------------------------- Name/Title: Leonard H. Lavin, individually; as co-trustee of the Bernice E. Lavin Trust, u/a/d 12/18/87; and as co-trustee of the Leonard H. Lavin Trust, u/a/d 12/18/87. -----END PRIVACY-ENHANCED MESSAGE-----