-----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, WSUNjQ/IjnEwKINdO9KgVJXCihxDhdON59Ae9WzoMh4K9BukNRT0Yr9BpqSlfEos h9fJWAVC0myB2i6ANDuHcA== 0000950123-04-005751.txt : 20040505 0000950123-04-005751.hdr.sgml : 20040505 20040505095333 ACCESSION NUMBER: 0000950123-04-005751 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040505 GROUP MEMBERS: ANGELICA URRA BERRIE GROUP MEMBERS: ILAN KAUFTHAL GROUP MEMBERS: JOSH WESTON GROUP MEMBERS: NOMAN SEIDEN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RUSS BERRIE & CO INC CENTRAL INDEX KEY: 0000739878 STANDARD INDUSTRIAL CLASSIFICATION: DOLLS & STUFFED TOYS [3942] IRS NUMBER: 221815337 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-35778 FILM NUMBER: 04779746 BUSINESS ADDRESS: STREET 1: 111 BAUER DR CITY: OAKLAND STATE: NJ ZIP: 07436 BUSINESS PHONE: 2013379000 MAIL ADDRESS: STREET 2: 111 BAUER DRIVE CITY: OAKLAND STATE: NJ ZIP: 07436 FORMER COMPANY: FORMER CONFORMED NAME: BERRIE RUSS & CO INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BENAROYA RAPHAEL CENTRAL INDEX KEY: 0000903414 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 365 WEST PASSAIC ST CITY: ROCHELLE PARK STATE: NJ ZIP: 07662 BUSINESS PHONE: 2129092000 MAIL ADDRESS: STREET 1: C/O UNITED RETAIL GROUP INC STREET 2: 364 WEST PASSAIC STREET CITY: ROCHELLE PARK STATE: NJ ZIP: 07662 SC 13D/A 1 y96536asc13dza.txt AMENDMENT NO. 1 TO SCHEDULE 13D Page 1 of 12 Pages SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Russ Berrie and Company, Inc. ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.10 stated value ------------------------------------------------------------------------------- (Title of Class of Securities) 782233 10 0 ------------------------------------------------------------------------------- (CUSIP Number) Joel I. Greenberg, Esq. Kaye Scholer LLP, 425 Park Avenue, New York, NY 10022 (212)836-8000 ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 22, 2004 ------------------------------------------------------------------------------- (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 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). CUSIP No. 782233 10 0 13D Page 2 of 12 Pages - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only) Angelica Urra Berrie - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A CROUP (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------- 5 CHECK 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 - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER 6,257 Common Shares --------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 4,624,451 Common Shares OWNED BY EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 6,257 Common Shares --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 4,624,451 Common Shares - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,630,708 Common Shares - ------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [X] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 22.4% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - ------------------------------------------------------------------------------- CUSIP No. 782233 10 0 13D Page 3 of 12 Pages - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. OR I. R. S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only) Josh Weston - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------- 5 CHECK 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 - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER 14,300 Common Shares --------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 2,771,988 Common Shares OWNED BY EACH --------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH 14,300 Common Shares --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 2,771,988 Common Shares - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,786,288 Common Shares - ------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 13.5% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - ------------------------------------------------------------------------------- CUSIP No. 782233 10 0 13D Page 4 of 12 Pages - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S. S. OR I. R. S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only) Raphael Benaroya - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------- 5 CHECK 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 - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER 32,405 Common Shares --------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 2,771,988 Common Shares OWNED BY EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 32,405 Common Shares --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 2,771,988 Common Shares - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,804,393 Common Shares - ------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [X] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 13.6% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - ------------------------------------------------------------------------------- CUSIP No. 782233 10 0 13D Page 5 of 12 Pages - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only) Ilan Kaufthal - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------- 5 CHECK 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 - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER 26,000 Common Shares --------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 4,624,451 Common Shares OWNED BY EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 26,000 Common Shares --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 4,624,451 Common Shares - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,650,451 Common Shares - ------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [X] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 22.5% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - ------------------------------------------------------------------------------- CUSIP No. 782233 10 0 13D Page 6 of 12 Pages - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S. S. OR I. R. S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only) Norman Seiden - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A CROUP (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------- 5 CHECK 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 - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 --------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 2,771,988 Common Shares OWNED BY EACH --------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH 0 --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 2,771,988 Common Shares - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,771,988 Common Shares - ------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [X] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 13.4% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - ------------------------------------------------------------------------------- Page 7 of 12 Pages AMENDMENT NO. 1 TO SCHEDULE 13D The Statement on Schedule 13D relating to the common stock, $0.10 stated value per share ("Common Shares"), of Russ Berrie and Company, Inc., a New Jersey corporation (the "Company"), filed on January 6, 2003 (the "Original 13D"), is hereby amended as follows. ITEM 2. IDENTITY AND BACKGROUND The first sentence of the paragraph marked "(b)-(c)" under Item 2 is hereby deleted and replaced with the following: "Ms. Berrie is the Chief Executive Officer of the Company." ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION The third, fourth and fifth sentences of Item 3 are hereby deleted and replaced with the following: "Ms. Berrie, Mr. Kaufthal and Mr. Rosner became executors of the Estate of Mr. Russell Berrie effective January 6, 2003. In addition, on April 22, 2004, The Russell Berrie 2001 Annuity Trust (the "Annuity Trust") made a required disposition of 1,772,849 Common Shares to the Estate of Mr. Russell Berrie, in accordance with the terms of the Trust Agreement governing the Annuity Trust. With respect to any other Common Shares that are beneficially owned by the reporting persons, the Common Shares owned by them were acquired for cash, and any options held by them were granted pursuant to the Company's various stock option plans." ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Item 5 is hereby deleted in its entirety and replaced with the following: "(a) Aggregate amount and percentage of class beneficially owned by: (i) Angelica Urra Berrie - 4,630,708 Common Shares (including options to acquire 5,384 Common Shares); 22.4% (ii) Josh Weston - 2,786,288 Common Shares (including options to acquire 14,000 Common Shares); 13.5% (iii) Raphael Benaroya - 2,804,393 Common Shares (including options to acquire 29,000 Common Shares); 13.6% (iv) Ilan Kaufthal - 4,650,451 Common Shares (including options to acquire 26,000 Common Shares); 22.5% (v) Norman Seiden - 2,771,988 Common Shares; 13.4% Percentage beneficial ownership is calculated based on 20,695,842 Common Shares outstanding as of March 15, 2004, as reported in the Company's definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on April 12, 2004. With respect to Ms. Berrie, and Messrs. Kaufthal and Seiden, the share holdings disclosed herein do not include the 4,997,212 Common Shares beneficially owned by The Russell Berrie Foundation, a New Jersey Nonprofit Corporation (the "Foundation"), of which the foregoing, among others, are members of the board of trustees. Each of Ms. Berrie and Messrs. Kaufthal and Seiden disclaims beneficial ownership of all Common Shares beneficially owned by the Foundation. Page 8 of 12 Pages The share holdings disclosed hereunder for Mr. Benaroya do not include the 315 Common Shares beneficially owned by his spouse, and Mr. Benaroya disclaims beneficial ownership of all such shares. With respect to Ms. Berrie and Messrs. Weston, Benaroya, Kaufthal and Seiden, each of whom (along with Myron Rosner) is a trustee of the Trust, the share holdings disclosed hereunder for each of them include the 2,771,988 Common Shares held by the Trust. With respect to Ms. Berrie and Mr. Kaufthal, each of whom (along with Myron Rosner) is an executor of the Estate of Mr. Russell Berrie, the share holdings disclosed hereunder for each of them include the 1,852,463 Common Shares beneficially owned by the Estate of Mr. Russell Berrie. (b)* (i) Angelica Urra Berrie has: (1) Sole power to vote or to direct the vote: 6,257 Common Shares, representing 873 Common Shares and options to acquire 5,384 Common Shares (2) Shared power to vote or to direct the vote: 4,624,451 Common Shares (3) Sole power to dispose or to direct the disposition of: 6,257 Common Shares, representing 873 Common Shares and options to acquire 5,384 Common Shares (4) Shared power to dispose or to direct the disposition of: 4,624,451 Common Shares (ii) Josh Weston has: (1) Sole power to vote or to direct the vote: 14,300 Common Shares, representing 300 Common Shares and options to acquire 14,000 Common Shares (2) Shared power to vote or to direct the vote: 2,771,988 Common Shares (3) Sole power to dispose or to direct the disposition of: 14,300 Common Shares, representing 300 Common Shares and options to acquire 14,000 Common Shares (4) Shared power to dispose or to direct the disposition of: 2,771,988 Common Shares Page 9 of 12 Pages (iii) Raphael Benaroya has: (1) Sole power to vote or to direct the vote: 32,405 Common Shares, representing 3,405 Common Shares and options to acquire 29,000 Common Shares (2) Shared power to vote or to direct the vote: 2,771,988 Common Shares (3) Sole power to dispose or to direct the disposition of: 32,405 Common Shares, representing 3,405 Common Shares and options to acquire 29,000 Common Shares (4) Shared power to dispose or to direct the disposition of: 2,771,988 Common Shares (iv) Ilan Kaufthal has: (1) Sole power to vote or to direct the vote: 26,000 Common Shares, representing options to acquire 26,000 Common Shares (2) Shared power to vote or to direct the vote: 4,624,451 Common Shares (3) Sole power to dispose or to direct the disposition of: 26,000 Common Shares, representing options to acquire 26,000 Common Shares (4) Shared power to dispose or to direct the disposition of: 4,624,451 Common Shares (v) Norman Seiden has: (1) Shared power to vote or to direct the vote: 2,771,988 Common Shares (2) Shared power to dispose or to direct the disposition of: 2,771,988 Common Shares * With respect to all individuals with whom persons named in response to this paragraph (b) share voting and dispositive power over Common Shares, the information required by Item 2 of Schedule 13D can be found herein under Item 2 with respect to Ms. Berrie and Messrs. Weston, Kaufthal, Seiden and Benaroya. Mr. Rosner is a shareholder and director of the law firm of Wilentz, Goldman & Spitzer, P.A. Such firm is located at 90 Woodbridge Center Drive, Woodbridge, New Jersey 07095, which is Mr. Rosner's business address. Mr. Page 10 of 12 Pages Rosner is a citizen of the United States. Mr. Rosner has not been convicted of any of the offenses set forth in paragraph (d) of Item 2 of Schedule 13D, nor has he been party to any proceeding described in paragraph (e) of Item 2 of Schedule 13D, in each case during the last five years. (c) (i) The following transaction was effected during the past sixty days: On April 22, 2004, the Annuity Trust made a required disposition of 1,772,849 Common Shares to the Estate of Mr. Russell Berrie, in accordance with the terms of the Trust Agreement governing the Annuity Trust. Ms. Berrie and Mr. Kaufthal (in addition to Myron Rosner) are each executors of the Estate of Mr. Russell Berrie. (ii) None of Messrs. Weston, Benaroya and Seiden has effected any transaction in Common Shares during the past sixty days. (d) Except as described in the Original 13D and except for Myron Rosner, who is a trustee of the Trust and an executor of the Estate of Mr. Russell Berrie, no other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of the securities covered by this Schedule 13D. (e) Not applicable." Page 11 of 12 Pages 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: May 4, 2004 /s/ Angelica Urra Berrie ________________________________________ Angelica Urra Berrie /s/ Josh Weston ________________________________________ Josh Weston /s/ Raphael Benaroya ________________________________________ Raphael Benaroya /s/ Ilan Kaufthal ________________________________________ Ilan Kaufthal /s/ Norman Seiden ________________________________________ Norman Seiden Page 12 of 12 Pages EXHIBIT INDEX Exhibit No. Description Exhibit 1 Joint Filing Agreement, dated January 2, 2003, among Ms. Berrie and Messrs. Weston, Benaroya, Kaufthal and Seiden - previously filed with Original 13D. -----END PRIVACY-ENHANCED MESSAGE-----