-----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, Ke3wd6FlvYq+LZRBP6G9Nx/oM1O8SfaJwt6OANlyZ6EOUho8zkbX1ydG19GGpF6n zugvP1hp5DBMRRnMAEaOOQ== 0000898432-01-000152.txt : 20010223 0000898432-01-000152.hdr.sgml : 20010223 ACCESSION NUMBER: 0000898432-01-000152 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: DORSEY R. GARDNER GROUP MEMBERS: THISTLE INVESTMENTS LLC 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/A SEC ACT: SEC FILE NUMBER: 005-38695 FILM NUMBER: 1545604 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: THISTLE INVESTMENTS LLC CENTRAL INDEX KEY: 0001087844 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 043451089 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: KELSO MANAGEMENT CO INC STREET 2: ONE INTERNATIONAL PLACE STE 2401 CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6173105110 MAIL ADDRESS: STREET 1: KELSO MANAGEMENT CO INC STREET 2: ONE INTERNATIONAL PLACE STE 2401 CITY: BOSTON STATE: MA ZIP: 02110 SC 13G/A 1 0001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-l(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (Amendment No. 1)* ROCKY MOUNTAIN CHOCOLATE FACTORY, INC. (Name of Issuer) Common Stock, Par Value $0.033 Per Share (Title of Class of Securities) 774678403 (CUSIP Number) January 1, 2001 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-l(b) [X] Rule 13d-l(c) [ ] Rule 13d-l(d) * 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). SCHEDULE 13G - ----------------------- ------------------ CUSIP No. 774678403 Page 2 of 8 Pages - ----------------------- ------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Thistle Investment LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 0 BENEFICIALLY ----------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 0 PERSON WITH ------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 0 ----------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% (See Note 1) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Note 1 - This Percentage is based on 1,957,000 shares of Common Stock outstanding as of February 12, 2001. SCHEDULE 13G - ----------------------- ------------------ CUSIP No. 774678403 Page 3 of 8 Pages - ----------------------- ------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Dorsey R. Gardner - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 41,200 **Please refer to Item 4, Page 5 for disclaimer BENEFICIALLY of beneficial ownership OWNED BY ----------------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON 0 WITH ----------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 41,200 **Please refer to Item 4, Page 5 for disclaimer of beneficial ownership ----------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 41,200 **Please refer to Item 4, Page 5 for disclaimer of beneficial ownership - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.1% (See Note 1) **Please refer to Item 4, Page 5 for disclaimer of beneficial ownership - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Note 1 - This Percentage is based on 1,957,000 shares of Common Stock outstanding as of February 12, 2001. SCHEDULE 13G - ----------------------- ------------------ CUSIP No. 774678403 Page 4 of 8 Pages - ----------------------- ------------------ Item 1(a). Name of issuer: Rocky Mountain Chocolate Factory, Inc., a Colorado Corporation (the "Company"). Item I(b). Address of Issuer's Principal Executive Offices: 265 Turner Drive, Durango, Colorado 81301 Item 2(a). Name of Person Filing: The Persons filing this statement are Thistle Investment LLC, a Delaware limited liability company ("LLC") and Dorsey R. Gardner, a managing member of LLC ("Gardner"). Item 2(b). Address of Principal Offices or, if None, Residence: The business address of Gardner and LLC is c/o Kelso Management Company, Inc., One International Place, Suite 2401, Boston, Massachusetts 02110. Item 2(c). Citizenship: Thistle Investment LLC - Delaware Dorsey R. Gardner - U.S.A. Item 2(d). Title of Class of Securities: The title of the class of equity securities to which this statement relates is the shares of Common Stock, par value $0.033 per share (the "Shares"), of the Company. Item 2(e). CUSIP Number: 774678403 SCHEDULE 13G - ----------------------- ------------------ CUSIP No. 774678403 Page 5 of 8 Pages - ----------------------- ------------------ Item 3. If the Statement is being filed pursuant to Rule 13d-l(b), or 13d-2(b) or (c), check whether the filing person is a: (a)[ ] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78(c); (b)[ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); (c)[ ] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); (d)[ ] Investment company registered under Section 8 of the Investment Company Act of 1940 (15U.S.C. 80a-8); (e)[ ] An investment adviser in accordance with l3d-l(b)(I)(ii)(E); (f)[ ] An employee benefit plan or endowment fund in accordance with 13d-I (b)(I)(ii)(F); (g)[ ] A parent holding company or control person in accordance with 13d-l(b)(1)(ii)(G); (h)[ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.1813); (i)[ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j)[ ] Group, in accordance with l3d-l(b)(l)(ii)(J). If this statement is filed pursuant to 13d-1(c), check this box.[X] Item 4. Ownership: The information in Items 5-11 on the cover pages (pages 2 through 4) of this Schedule 13G is incorporated by reference. As of the date of this statement, LLC is the beneficial owner of no Shares. Gardner, as a managing member of LLC, may be deemed to beneficially own Shares beneficially owned by LLC. Except to the extent of his interests as a member of LLC, Gardner expressly disclaims such beneficial ownership and the filing of this statement shall not be construed as an admission that Gardner is the beneficial owner of the Shares owned by LLC and covered by this statement. SCHEDULE 13G - ----------------------- ------------------ CUSIP No. 774678403 Page 6 of 8 Pages - ----------------------- ------------------ Item 5. Ownership of 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 had ceased to be the beneficial owner of more than five percent of the class of securities, check the following:[X] Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not Applicable. Item 8. Identification and Classification of Members of the Group. Not Applicable. Item 9. Notice of Dissolution of Group. Not Applicable. Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SCHEDULE 13G - ----------------------- ------------------ CUSIP No. 774678403 Page 7 of 8 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. Dated: February 13, 2001 THISTLE INVESTMENT LLC By: /s/ DORSEY R. GARDNER ---------------------------- Managing Member DORSEY R. GARDNER /s/ DORSEY R. GARDNER --------------------------- Dorsey R. Gardner The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Attention. Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001). SCHEDULE 13G - ----------------------- ------------------ CUSIP No. 774678403 Page 8 of 8 Pages - ----------------------- ------------------ EXHIBIT INDEX 99.1 Joint Filing Agreement. Incorporated herein by reference to Exhibit 99.1 in Schedule 13G filed electronically with the Securities and Exchange Commission on March 29, 2000 (Accession No. 0000898432-00-000278). -----END PRIVACY-ENHANCED MESSAGE-----