-----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, OCW07bo/66EK5Ss1mKqxJ8Ph6Q5K1T/UU/eTMd8oVo8T5Jsl6wOeKJZ9d1o6/Ry8 RXfRaNNtDnDaZRDklcfZlQ== 0000909518-99-000460.txt : 19990709 0000909518-99-000460.hdr.sgml : 19990709 ACCESSION NUMBER: 0000909518-99-000460 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990708 GROUP MEMBERS: JOHN B. GOODRICH GROUP MEMBERS: LENS INVESTMENT MANAGEMENT LLC /ADV GROUP MEMBERS: RAM TRUST SERVICES, INC. GROUP MEMBERS: ROBERT B. HOLMES SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: JUNO LIGHTING INC CENTRAL INDEX KEY: 0000723888 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC LIGHTING & WIRING EQUIPMENT [3640] IRS NUMBER: 362852993 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-35144 FILM NUMBER: 99660948 BUSINESS ADDRESS: STREET 1: 1300 S WOLF ROAD STREET 2: PO BOX 5065 CITY: DES PLAINES STATE: IL ZIP: 60017-5065 BUSINESS PHONE: 8478279880 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LENS INVESTMENT MANAGEMENT LLC /ADV CENTRAL INDEX KEY: 0001023807 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 010497749 STATE OF INCORPORATION: ME FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 45 EXCHANGE ST STREET 2: STE 400 CITY: PORTLAND STATE: ME ZIP: 04101 BUSINESS PHONE: 2077754296 FORMER COMPANY: FORMER CONFORMED NAME: FOCUS INVESTMENT MANAGEMENT LLC /ADV DATE OF NAME CHANGE: 19970220 FORMER COMPANY: FORMER CONFORMED NAME: FOCUS INVESTMENT MANAGEMENT LLC /ADV DATE OF NAME CHANGE: 19970215 SC 13D/A 1 ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) JUNO LIGHTING, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE 482047107 $0.01 PAR SHARE - -------------------------------------------------------------------------------- (Title of class of securities) (CUSIP number) NELL MINOW LENS INVESTMENT MANAGEMENT LLC 1200 G STREET, N.W., SUITE 800 WASHINGTON, D.C. 30005 (202) 434-8723 - -------------------------------------------------------------------------------- (Name, address and telephone number of person authorized to receive notices and communications) JULY 8, 1999 - -------------------------------------------------------------------------------- (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: When filing this statement in paper format, six copies of this statement, including exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. (Continued on following page(s)) (Page 1 of 7 Pages) ================================================================================ #425049 v2
- ------------------------------ --------------------------------------- ------------------------------------------------ CUSIP No. 482047107 13D Page 2 of 7 - ------------------------------ --------------------------------------- ------------------------------------------------ - ------------------- -------------------------------------------------- ------------------------------------------------------------- 1 NAME OF REPORTING PERSON: LENS INVESTMENT MANAGEMENT, LLC S.S. OR I.R.S. IDENTIFICATION NO. 01-0497749 OF ABOVE PERSON: - ------------------- --------------------------------------------------------------------------------------------- ------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [X] (B) [_] - ------------------- ---------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------- ------------------------------- -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - ------------------- --------------------------------------------------------------------------------------------- ------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] - ------------------- -------------------------------------------------- ------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: MAINE - ------------------------------ ------- -------------------------------------------- ------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER: N/A (SEE ITEM 5) ------------------ SHARES ------- -------------------------------------------- ------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER: NONE OWNED BY ------- -------------------------------------------- ------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: N/A (SEE ITEM 5) ------------------- REPORTING ------- -------------------------------------------- ------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: NONE - ------------------- --------------------------------------------------------------- ------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: N/A (SEE ITEM 5) ------------------- - ------------------- --------------------------------------------------------------------------------------------- ------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ] - ------------------- --------------------------------------------------------------------------------------------- ------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): N/A (SEE ----------- ITEM 5) - ------------------- -------------------------------------------------- ------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: OO, IA - ------------------- -------------------------------------------------- ------------------------------------------------------------- 2 - ------------------------------ --------------------------------------- ------------------------------------------------ CUSIP No. 482047107 13D Page 3 of 7 - ------------------------------ --------------------------------------- ------------------------------------------------ - ------------------- -------------------------------------------------- ------------------------------------------------------------- 1 NAME OF REPORTING PERSON: RAM TRUST SERVICES, INC. S.S. OR I.R.S. IDENTIFICATION NO. 01-0363642 OF ABOVE PERSON: - ------------------- --------------------------------------------------------------------------------------------- ------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [X] (B) [_] - ------------------- ---------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------- ------------------------------- -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: OO - ------------------- --------------------------------------------------------------------------------------------- ------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] - ------------------- -------------------------------------------------- ------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: MAINE - ------------------------------ ------- -------------------------------------------- ------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER: N/A (SEE ITEM 5) ------------------- SHARES ------- -------------------------------------------- ------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER: NONE OWNED BY ------- -------------------------------------------- ------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: N/A (SEE ITEM 5) ------------------- REPORTING ------- -------------------------------------------- ------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: NONE - ------------------- --------------------------------------------------------------- ------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: N/A (SEE ITEM 5) ------------------- - ------------------- --------------------------------------------------------------------------------------------- ------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ] - ------------------- --------------------------------------------------------------------------------------------- ------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): N/A (SEE ------------ ITEM 5) - ------------------- -------------------------------------------------- ------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: CO, IA - ------------------- -------------------------------------------------- ------------------------------------------------------------- 3 - ------------------------------ --------------------------------------- ------------------------------------------------ CUSIP No. 482047107 13D Page 4 of 7 - ------------------------------ --------------------------------------- ------------------------------------------------ - ------------------- -------------------------------------------------- ------------------------------------------------------------- 1 NAME OF REPORTING PERSON: ROBERT B. HOLMES S.S. OR I.R.S. IDENTIFICATION NO. ###-##-#### OF ABOVE PERSON: - ------------------- --------------------------------------------------------------------------------------------- ------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [X] (B) [_] - ------------------- ---------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------- ------------------------------- -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: PF - ------------------- --------------------------------------------------------------------------------------------- ------------------ 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 OF AMERICA - ------------------------------ ------- -------------------------------------------- ------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER: N/A (SEE ITEM 5) ------------------- SHARES ------- -------------------------------------------- ------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER: NONE OWNED BY ------- -------------------------------------------- ------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: N/A (SEE ITEM 5) ------------------- REPORTING ------- -------------------------------------------- ------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: NONE - ------------------- --------------------------------------------------------------- ------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: N/A (SEE ITEM 5) ------------------- - ------------------- --------------------------------------------------------------------------------------------- ------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ] - ------------------- --------------------------------------------------------------------------------------------- ------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): N/A (SEE ------------ ITEM 5) - ------------------- -------------------------------------------------- ------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: IN - ------------------- -------------------------------------------------- ------------------------------------------------------------- 4 - ------------------------------ --------------------------------------- ------------------------------------------------ CUSIP No. 482047107 13D Page 5 of 7 - ------------------------------ --------------------------------------- ------------------------------------------------ - ------------------- -------------------------------------------------- ------------------------------------------------------------- 1 NAME OF REPORTING PERSON: JOHN B. GOODRICH S.S. OR I.R.S. IDENTIFICATION NO. ###-##-#### OF ABOVE PERSON: - ------------------- --------------------------------------------------------------------------------------------- ------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [X] (B) [_] - ------------------- ---------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------- ------------------------------- -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS: PF - ------------------- --------------------------------------------------------------------------------------------- ------------------ 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 OF AMERICA - ------------------------------ ------- -------------------------------------------- ------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER: N/A (SEE ITEM 5) ------------------- SHARES ------- -------------------------------------------- ------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER: NONE OWNED BY ------- -------------------------------------------- ------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER: N/A (SEE ITEM 5) ------------------- REPORTING ------- -------------------------------------------- ------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER: NONE - ------------------- --------------------------------------------------------------- ------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: N/A (SEE ITEM 5) ------------------- - ------------------- --------------------------------------------------------------------------------------------- ------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ] - ------------------- --------------------------------------------------------------------------------------------- ------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): N/A (SEE ----------- ITEM 5) - ------------------- -------------------------------------------------- ------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: IN - ------------------- -------------------------------------------------- -------------------------------------------------------------
5 This Amendment No. 3 ("Amendment No. 3") amends the Statement on Schedule 13D (the "Schedule 13D") filed on September 18, 1998, as amended by Amendment No. 1 filed on November 17, 1998 and Amendment No. 2 filed on February 2, 1999, by and on behalf of Lens Investment Management, LLC ("Lens"), Ram Trust Services, Inc. ("Ram"), Robert B. Holmes ("Holmes") and John B. Goodrich ("Goodrich"). Lens, Ram, Holmes and Goodrich are herein referred to collectively as the "Reporting Persons." Capitalized terms used herein and not defined herein have the meanings ascribed thereto in the Schedule 13D. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Since the filing of Amendment No. 2 to the Schedule 13D, accounts managed by Lens purchased an aggregate of 82,301 shares of Common Stock for total consideration (including brokerage commissions) of $1,679,431.39 derived from capital in such managed accounts. Since the filing of Amendment No. 2 to the Schedule 13D, accounts managed by Ram purchased an aggregate of 61,054 shares of Common Stock for total consideration (including brokerage commissions) of $1,252,994.98 derived from capital in such managed accounts. ITEM 4. PURPOSE OF TRANSACTION According to press releases issued by the Company, Jupiter Acquisition Corp. merged with and into the Company on June 30, 1999 (the "Merger"). In connection with the Merger, the Lens Group notified the Company of its election to demand the appraisal of the shares of Common Stock beneficially owned by the Lens Group. The Lens Group chose this course of action because it believes that the consideration payable in the Merger does not represent the fair value of the Common Stock. The Lens Group reserves the right to pursue its appraisal rights in the Delaware Court of Chancery, settle its claims with respect thereto or withdraw its demand for appraisal. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER As a result of the Merger, the Lens Group, in the aggregate, ceased to be a beneficial owner of 5% or more of the outstanding Common Stock on June 30, 1999, the effective date of the Merger. The Lens Group currently has the right to (a) the fair value of its shares of Common Stock as determined by the Delaware Court of Chancery or (b) withdraw its demand for appraisal and receive the consideration offered in the Merger. The Reporting Persons engaged in the following transactions with respect to the Common Stock during the past 60 days. All such transactions were effected on the NASDAQ Stock Market.
- ------------------------- --------------------------------------- ---------------- --------------------------- DATE OF TRANSACTION NATURE OF TRANSACTION NUMBER OF SHARES PRICE - ------------------------- --------------------------------------- ---------------- --------------------------- 5/10/99 Purchase 25 22.625
6 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. July 8, 1999 LENS INVESTMENT MANAGEMENT, LLC By: /s/ John P.M. Higgins ---------------------------------------- Name: John P.M. Higgins Title: Member RAM TRUST SERVICES, INC. By: /s/ John P.M. Higgins ---------------------------------------- Name: John P.M. Higgins Title: President /s/ Robert B. Holmes ---------------------------------------- Robert B. Holmes /s/ John B. Goodrich ---------------------------------------- John B. Goodrich 7 -----END PRIVACY-ENHANCED MESSAGE-----