-----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, LXxvCe7rqxwb68G060MWkg9TvWx/YDtP1PVjMvQFusZ6ZJF5AqnpFzLblw4d/+/b 7CrCkXba0aNsun9RKUr6jA== 0000936392-98-000187.txt : 19980217 0000936392-98-000187.hdr.sgml : 19980217 ACCESSION NUMBER: 0000936392-98-000187 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOT TOPIC INC /CA/ CENTRAL INDEX KEY: 0001017712 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 770198182 STATE OF INCORPORATION: CA FISCAL YEAR END: 0201 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48895 FILM NUMBER: 98535752 BUSINESS ADDRESS: STREET 1: 3410 POMONA BLVD CITY: POMONA STATE: CA ZIP: 91768 MAIL ADDRESS: STREET 1: 3410 POMONA BLVD CITY: POMONA STATE: CA ZIP: 91768 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PHILLIPS SMITH SPECIALTY RETAIL GROUP III L P CENTRAL INDEX KEY: 0000901739 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 5080 SPECTRUM DR STREET 2: STE 700 WEST CITY: DALLAS STATE: TX ZIP: 75248 BUSINESS PHONE: 2143870725 MAIL ADDRESS: STREET 1: 5080 SPECTRUM DR STREET 2: STE 700 WEST CITY: DALLAS STATE: TX ZIP: 75248 SC 13G/A 1 SCHEDULE 13G/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* HOT TOPIC, INC. --------------- (Name of Issuer) COMMON STOCK ------------ (Title of Class of Securities) 441339 10 8 ----------- (CUSIP Number) *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") 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). FILED FEBRUARY 12, 1998 (REFLECTING OWNERSHIP AS OF 12/31/97) Page 1 of 8 pages 2 - -------------------------- ----------------------------- CUSIP NO.441339 10 8 13G PAGE 2 OF 6 PAGES - -------------------------- ----------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION STATE OF TEXAS - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 406,738 SHARES ------------------------------------------------ BENEFICIALLY OWNED BY 6 SHARED VOTING POWER EACH REPORTING PERSON -0- WITH ------------------------------------------------ 7 SOLE DISPOSITIVE POWER 406,738 ------------------------------------------------ 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 406,738 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.54% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- Page 2 of 8 pages 3 - -------------------------- ----------------------------- CUSIP NO.441339 10 8 13G PAGE 2 OF 6 PAGES - -------------------------- ----------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS PHILLIPS-SMITH MANAGEMENT COMPANY - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION STATE OF TEXAS - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 573 SHARES ------------------------------------------------ BENEFICIALLY OWNED BY 6 SHARED VOTING POWER EACH REPORTING PERSON -0- WITH ------------------------------------------------ 7 SOLE DISPOSITIVE POWER 573 ------------------------------------------------ 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 573 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.001% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- Page 3 of 8 pages 4 - -------------------------- ----------------------------- CUSIP NO.441339 10 8 13G PAGE 2 OF 6 PAGES - -------------------------- ----------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS CECE SMITH - -------------------------------------------------------------------------------- 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. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 7,540 SHARES ------------------------------------------------ BENEFICIALLY OWNED BY 6 SHARED VOTING POWER EACH REPORTING PERSON -0- WITH ------------------------------------------------ 7 SOLE DISPOSITIVE POWER 7,540 ------------------------------------------------ 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,540 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.015% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- Page 4 of 8 pages 5 ITEM 1. (a) Name of Issuer: HOT TOPIC, INC. (b) Address of Issuer's Principal Executive Officers: 3410 POMONA BOULEVARD POMONA, CA 91766 ITEM 2. (a)Name of Person Filing: PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. PHILLIPS-SMITH MANAGEMENT COMPANY CECE SMITH (b) Address of Principal Business Office or, if none, Residence: 5080 SPECTRUM DRIVE, SUITE 700 WEST DALLAS, TX 75248 (c) Place of Organization: STATE OF TEXAS (FOR THE ABOVE ENTITIES) Citizenship: UNITED STATES (FOR CECE SMITH) (d) Title of Class of Securities: COMMON STOCK (e) CUSIP Number: 441339 10 8 ITEM 3. NOT APPLICABLE. ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: As of December 31, 1997, each of the following is the owner of record of the number of shares of Common Stock set forth next to its or her name: PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. 406,738 PHILLIPS-SMITH MANAGEMENT COMPANY 573 CECE SMITH 7,540 (b) Percent of Class: PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. 8.54% PHILLIPS-SMITH MANAGEMENT COMPANY 0.001% CECE SMITH 0.015% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. 406,738 PHILLIPS-SMITH MANAGEMENT COMPANY 573 CECE SMITH 7,540 (ii) shared power to vote or to direct the vote: PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. 0 PHILLIPS-SMITH MANAGEMENT COMPANY 0 CECE SMITH 0
Page 5 of 8 pages 6 (iii) sole power to dispose or to direct the disposition of: PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. 406,738 PHILLIPS-SMITH MANAGEMENT COMPANY 573 CECE SMITH 7,540 (iv) shared power to dispose or to direct the disposition of: PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. 0 PHILLIPS-SMITH MANAGEMENT COMPANY 0 CECE SMITH 0
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS NOT APPLICABLE. 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 NOT APPLICABLE EXHIBIT A: Joint Filing Statement Page 6 of 8 pages 7 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. February 11, 1998 ------------------------------------------ Date PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. By: its General Partner, Phillips-Smith Management Company By: /s/ CECE SMITH --------------------------------------- Cece Smith/General Partner ------------------------------------------ Name/Title PHILLIPS-SMITH MANAGEMENT COMPANY By: /s/ CECE SMITH --------------------------------------- Cece Smith/General Partner ------------------------------------------ Name/Title /s/ CECE SMITH ------------------------------------------ Signature Cece Smith ------------------------------------------ Name/Title Page 7 of 8 pages 8 EXHIBIT A JOINT FILING STATEMENT Pursuant to Rule 13d-1(f)(1), we, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of each of us. Date: February 11, 1998 ------------------------------ PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. By: its General Partner, Phillips-Smith Management Company By: /s/ CECE SMITH ----------------------------------- Cece Smith/General Partner - -------------------------------------- Name/Title PHILLIPS-SMITH MANAGEMENT COMPANY By: /s/ CECE SMITH ----------------------------------- Cece Smith/General Partner - -------------------------------------- Name/Title /s/ CECE SMITH - -------------------------------------- Signature Cece Smith - -------------------------------------- Name/Title Page 8 of 8 pages -----END PRIVACY-ENHANCED MESSAGE-----