-----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, UAhZCd4Ex+4i/Bn2dFlcmGvlD8DkrqJ3ALJFQ6hs5P8KshY3xXAA/CUQS1Nh7+l+ eVxTEXZqyn94e0m2teZkNg== 0000945621-02-000251.txt : 20021126 0000945621-02-000251.hdr.sgml : 20021126 20021126170758 ACCESSION NUMBER: 0000945621-02-000251 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021126 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WICKES INC CENTRAL INDEX KEY: 0000910620 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-LUMBER & OTHER BUILDING MATERIALS DEALERS [5211] IRS NUMBER: 363554758 STATE OF INCORPORATION: DE FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-42945 FILM NUMBER: 02841446 BUSINESS ADDRESS: STREET 1: 706 N DEERPATH DR CITY: VERNON HILLS STATE: IL ZIP: 60061 BUSINESS PHONE: 8473673400 MAIL ADDRESS: STREET 1: 706 NORTH DEERPATH DR CITY: VERNON HILLS STATE: IL ZIP: 60061 FORMER COMPANY: FORMER CONFORMED NAME: WICKES LUMBER CO /DE/ DATE OF NAME CHANGE: 19930813 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: IRONWOOD CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001127761 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 21 CUSTOM HOUSE STREET, SUITE 240 CITY: BOSTON STATE: MA ZIP: 02109 SC 13G 1 wickes-sc13g.txt SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. __)* Wickes, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 967446105 - -------------------------------------------------------------------------------- (CUSIP Number) September 26, 2002 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [_] Rule 13d-(c) [_] Rule 13d-1(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 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 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. 13G Page of Pages 967446105 2 11 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Ironwood Capital Management, LLC Tax ID 04-3386084 ________________________________________________________________________________ 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 0 SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER 327,771 OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER 0 REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER 523,308 WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 523,308 ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.32% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* OO,IA ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 13G Page of Pages 967446105 3 11 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Warren J. Isabelle N/A ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION American ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER 0 SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER 327,771 OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER 0 REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER 523,308 WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 523,308 ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.32% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* HC ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 13G Page of Pages 209232107 4 11 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Richard L. Droster N/A ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION American ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER 0 SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER 327,771 OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER 0 REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER 523,308 WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 523,308 ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.32% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* HC ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 13G Page of Pages 209232107 5 11 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Donald Collins N/A ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION American ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER 0 SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER 327,771 OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER 0 REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER 523,308 WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 523,308 ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.32% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* HC ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 13G Page of Pages 209232107 6 11 ________________________________________________________________________________ Item 1(a). Name of Issuer: Wickes, Inc. ________________________________________________________________________________ Item 1(b). Address of Issuer's Principal Executive Offices: 706 North Deerpath Drive Vernon Hills, IL 60061 ________________________________________________________________________________ Item 2(a). Name of Person Filing: (i) Ironwood Capital Management, LLC ("ICM") (ii) Warren J. Isabelle ("Isabelle") (iii) Richard L. Droster ("Droster") (iv) Donald Collins ("Collins") ________________________________________________________________________________ Item 2(b). Address of Principal Business Office, or if None, Residence: ICM: 21 Custom House Street Boston, MA 02110 Isabelle: c/o ICM 21 Custom House Street Boston, MA 02110 Droster: c/o ICM 21 Custom House Street Boston, MA 02110 Collins: c/o ICM 21 Custom House Street Boston, MA 02110 ________________________________________________________________________________ Item 2(c). Citizenship: ICM: Massachusetts Isabelle: American Droster: American Collins: American ________________________________________________________________________________ Item 2(d). Title of Class of Securities: Common Stock CUSIP No. 13G Page of Pages 967446105 7 11 ________________________________________________________________________________ Item 2(e). CUSIP Number: 967446105 ________________________________________________________________________________ Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [_] Broker or dealer registered under Section 15 of the Exchange Act. (b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [_] Investment company registered under Section 8 of the Investment Company Act. (e) [X] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [_] Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: (i) ICM: 523,308 (ii) Isabelle: 523,308 (iii) Droster: 523,308 (iv) Collins: 523,308 CUSIP No. 13G Page of Pages 967446105 8 11 (b) Percent of class: (i) ICM: 6.32% (ii) Isabelle: 6.32% (iii) Droster: 6.32% (iv) Collins: 6.32% (c) Number of shares as to which such person has: (1) Sole power to vote or to direct the vote: (i) ICM: 0 (ii) Isabelle: 0 (iii) Droster: 0 (iv) Collins: 0 (2) Shared power to vote or to direct the vote: (i) ICM: 327,771 (ii) Isabelle: 327,771 (iii) Droster: 327,771 (iv) Collins: 327,771 (3) Sole power to dispose or to direct the disposition of: (i) ICM: 0 (ii) Isabelle: 0 (iii) Droster: 0 (iv) Collins: 0 (4) Shared power to dispose or to direct the disposition of: (i) ICM: 523,308 (ii) Isabelle: 523,308 (iii) Droster: 523,308 (iv) Collins: 523,308 ________________________________________________________________________________ Item 5. Ownership of Five Percent or Less of a Class. Not Applicable CUSIP No. 13G Page of Pages 209232107 9 11 ________________________________________________________________________________ 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. Certifications. (a) The following certification shall be included if the statement is filed pursuant to Rule 13d-1(b): "By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and 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 such purpose or effect." (b) The following certification shall be included if the statement is filed pursuant to Rule 13d-1(c): "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 such purpose or effect." CUSIP No. 13G Page of Pages 967446105 10 11 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. IRONWOOD CAPITAL MANAGEMENT, LLC Date: November 25, 2002 By: * ----------------------------- Warren J. Isabelle, Manager Date: November 25, 2002 By: * ----------------------------- Warren J. Isabelle, Manager Date: November 25, 2002 By: * ----------------------------- Richard L. Droster, Executive Vice President Date: November 25, 2002 By: * ----------------------------- Donald Collins, Senior Portfolio Manager By: /s/ Gary S. Saks ------------------------------- November 25, 2002 Gary S. Saks, Attorney-in-Fact * Executed pursuant to powers of attorney dated May 10, 2001 and filed on July 10, 2001 Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties for whom copies are to be sent. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). CUSIP No. 13G Page of Pages 967446105 11 11 EXHIBIT 1 JOINT FILING AGREEMENT AMONG IRONWOOD CAPITAL MANAGEMENT, LLC WARREN J. ISABELLE, RICHARD L. DROSTER AND DONALD COLLINS WHEREAS, in accordance with Rule 13d-1(k) under the Securities and Exchange Act of 1934 (the "Act"), only one joint statement and any amendments thereto need to be filed whenever one or more persons are required to file such a statement or any amendments thereto pursuant to Section 13(d) of the Act with respect to the same securities, provided that said persons agree in writing that such statement or amendments thereto is filed on behalf of each of them; NOW, THEREFORE, the parties hereto agree as follows: IRONWOOD CAPITAL MANAGEMENT, LLC, WARREN J. ISABELLE, RICHARD L. DROSTER AND DONALD COLLINS hereby agree, in accordance with Rule 13d-1(k) under the Act, to file a statement on Schedule 13G relating to their ownership of Common Stock of the Issuer and do hereby further agree that said statement shall be filed on behalf of each of them. IRONWOOD CAPITAL MANAGEMENT, LLC Date: November 25, 2002 By: * ------------------------------------ Warren J. Isabelle, Manager Date: November 25, 2002 * ------------------------------------ Warren J. Isabelle Date: November 25, 2002 * ------------------------------------ Richard L. Droster Date: November 25, 2002 * ------------------------------------ Donald Collins By: /s/ Gary S. Saks ----------------------------------- November 25, 2002 Gary S. Saks, Attorney-in-Fact * Executed pursuant to powers of attorney dated May 10, 2001 and filed on July 10, 2001. -----END PRIVACY-ENHANCED MESSAGE-----