-----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, DKrssRGGr7D/Jrym+Ny442JNXw+v3yJs4HRXWHzENq42kPteKVJQkNGfb84coExI czyeu3cDXIuVv1ohzFp8vA== 0000728889-95-000044.txt : 19951211 0000728889-95-000044.hdr.sgml : 19951211 ACCESSION NUMBER: 0000728889-95-000044 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19951208 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROCKY MOUNTAIN CHOCOLATE FACTORY INC CENTRAL INDEX KEY: 0000785815 STANDARD INDUSTRIAL CLASSIFICATION: SUGAR & CONFECTIONERY PRODUCTS [2060] IRS NUMBER: 840910696 STATE OF INCORPORATION: CO FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-38695 FILM NUMBER: 95600370 BUSINESS ADDRESS: STREET 1: 265 TURNER DR CITY: DURANGO STATE: CO ZIP: 81301 BUSINESS PHONE: 3032590554 MAIL ADDRESS: STREET 1: 265 TURNER DRIVE CITY: DURANGO STATE: CO ZIP: 81301 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OPPENHEIMER MANAGEMENT CORP CENTRAL INDEX KEY: 0000728889 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: TWO WORLD TRADE CENTER STREET 2: 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10048-0203 BUSINESS PHONE: 212-323-0200 MAIL ADDRESS: STREET 1: TWO WORLD TRADE CENTER STREET 2: 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10048-0203 SC 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 ) Rocky Mountain Chocolate Factory, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 774678403 (CUSIP Number) Check the following box if a fee / X / is being paid with this statement (A fee is not required only if the filing 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.) * 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") of 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. 774678403 13G - ---------------------------- ------------------------- - ------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Oppenheimer Management Corporation I.R.S. NO. 13-2527171 - ------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * A / / B / X / - ------------------------------------------------------------------- 3. SEC USE ONLY - ------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Colorado - ------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 0 BENEFICIALLY ----------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH 0 REPORTING ----------------------------------------------- PERSON WITH 7. SOLE DISPOSITIVE POWER 0 ----------------------------------------------- 8. SHARED DISPOSITIVE POWER 338,400 - ------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 338,400 - ------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * - ------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11.4% - ------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IA - ------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - ---------------------------- ------------------------- Cusip No. 774678403 13G - ---------------------------- ------------------------- - ------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Oppenheimer Discovery Fund I.R.S. NO. 22-2725700 - ------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * A / / B / X / - ------------------------------------------------------------------- 3. SEC USE ONLY - ------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Massachusetts - ------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 200,000 BENEFICIALLY ----------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH 0 REPORTING ----------------------------------------------- PERSON WITH 7. SOLE DISPOSITIVE POWER 0 ----------------------------------------------- 8. SHARED DISPOSITIVE POWER 200,000 - ------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 200,000 - ------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * - ------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.76% - ------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IV - ------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Check the following box if a fee is being paid with this statement / X / Item 1(a) Name of Issuer: Rocky Mountain Chocolate Factory, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 265 Turner Drive Box 2408 Durango, CO 81301 Item 2(a) Name of Person Filing: Oppenheimer Management Corporation Item 2(b) Address of Principal Business Office: Two World Trade Center, Suite 3400, New York, New York 10048-0203 Item 2(c) Citizenship: Inapplicable Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 774678403 Item 3(e) X Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 Item 4(a) Amount Beneficially Owned: 338,400 shares Item 4(b) Percent of Class: 11.4% Item 4(c)(i) Sole Power to vote or to direct the vote - 0 Item 4(c)(ii) Shared power to vote or to direct the vote - 0 Item 4(c)(iii) Sole power to dispose or to direct the disposition of - 0 Item 4(c)(iv) Shared power to dispose or to direct the disposition of - 338,400 shares Item 5 Ownership to Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof, the reporting person has ceased to be the beneficial owner of more than 5% of the class of securities, check the following: Item 6 Ownership of More than Five Percent on Behalf of Another Person: See Exhibit A hereto. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: Inapplicable Item 8 Identification and Classification of Members of the Group: Inapplicable Item 9 Notice of Dissolution of Group: Inapplicable Item 10 Certification: By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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: December 8, 1995 Signature: /s/ Robert G. Zack ------------------ Name/Title: Robert G. Zack, Senior Vice President EXHIBIT A The Board of Directors or Trustees of the registered investment companies managed by Oppenheimer Management Corporation ("OMC") and owning shares of the issuer can direct the disposition of dividends received by such funds and can dispose of such securities. Additionally, OMC shares the power to dispose of such securities with the Board of Directors or Trustees of such funds; however, the Board of Directors or Trustees of such fund has delegated these responsibilities to OMC as the fund's investment advisor under its investment advisory agreement. OMC has an interest relating to five (5%) percent or more of such securities as disclosed on Page 2 hereof, by virtue of the interest of five percent (5%) or more of such securities by Oppenheimer Discovery Fund, as disclosed on page 3 hereof. OMC disclaims ownership of such securities, except as expressly stated herein. EXHIBIT B The undersigned investment company hereby acknowledges and agrees that a report on Schedule 13G being filed by Oppenheimer Management Corporation on or about the date hereof, relating to the Common Stock of Rocky Mountain Chocolate Factory, Inc., is filed on behalf of the undersigned. Dated: December 8, 1995 OPPENHEIMER DISCOVERY FUND By: /s/ Robert G. Zack ------------------- Robert G. Zack, Assistant Secretary SIEGEL\ED\ROCKY3.13G -----END PRIVACY-ENHANCED MESSAGE-----