-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, Ak/sdhjRD0Ay3mk8Po0jeE1sf+jxrZiJyYQpowUNSdrn3jUCUg5biHYDFdq0OTJC f1QnbKLg/XjhOZXbug3Ang== 0000891836-95-000010.txt : 19950515 0000891836-95-000010.hdr.sgml : 19950515 ACCESSION NUMBER: 0000891836-95-000010 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19950213 SROS: NYSE GROUP MEMBERS: DOUGLAS SCHLOSS GROUP MEMBERS: RICHARD P. SCHLOSS GROUP MEMBERS: SCHLOSS MARCUS & CO INC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WHITTAKER CORP CENTRAL INDEX KEY: 0000106945 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS FABRICATED METAL PRODUCTS [3490] IRS NUMBER: 954033076 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-08936 FILM NUMBER: 95509084 BUSINESS ADDRESS: STREET 1: 10880 WILSHIRE BLVD STE 800 CITY: LOS ANGELES STATE: CA ZIP: 90024-4163 BUSINESS PHONE: 2134759411 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SCHLOSS MARCUS & CO INC CENTRAL INDEX KEY: 0000872260 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 135676531 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE WHITEHALL STREET CITY: NEW YORK STATE: NY ZIP: 10004 SC 13G 1 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _____)* Whittaker Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 966680407 (CUSIP Number) Check the following box if a fee is being paid with this statement [X]. (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 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). 2 - -------------------- CUSIP NO. 966680407 - -------------------- - ------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Marcus Schloss & Co., Inc. TP #13-5676531 - ------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - ------------------------------------------------------------ 3. SEC USE ONLY - ------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION New York - ------------------------------------------------------------ 5. SOLE VOTING POWER NUMBER OF 254,800* SHARES ---------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY None EACH ---------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 254,800* WITH ---------------------------------------- 8. SHARED DISPOSITIVE POWER None - ------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 254,800* - ------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.0% - ------------------------------------------------------------ 12. TYPE OF REPORTING PERSON BD - ------------------------------------------------------------ 3 - -------------------- CUSIP NO. 966680407 - -------------------- - ------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Douglas Schloss SS ####-##-#### - ------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - ------------------------------------------------------------ 3. SEC USE ONLY - ------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------ 5. SOLE VOTING POWER NUMBER OF 254,800* SHARES ---------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY None EACH ---------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 254,800* WITH ---------------------------------------- 8. SHARED DISPOSITIVE POWER None - ------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 254,800* - ------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.0% - ------------------------------------------------------------ 12. TYPE OF REPORTING PERSON IN - ------------------------------------------------------------ 4 - -------------------- CUSIP NO. 966680407 - -------------------- - ------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Richard Perry Schloss SS ####-##-#### - ------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - ------------------------------------------------------------ 3. SEC USE ONLY - ------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------ 5. SOLE VOTING POWER NUMBER OF 254,800* SHARES ---------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY None EACH ---------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 254,800* WITH ---------------------------------------- 8. SHARED DISPOSITIVE POWER None - ------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 254,800* - ------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.0% - ------------------------------------------------------------ 12. TYPE OF REPORTING PERSON IN - ------------------------------------------------------------ 5 * Marcus Schloss & Co., Inc. is the record owner of the 254,800 shares of Whittaker Corporation referenced herein. Each of Douglas Schloss and Richard P. Schloss may be deemed to control Marcus Schloss & Co., Inc. and thus each of Douglas Schloss, Richard P. Schloss and Marcus Schloss & Co., Inc. may be considered to have beneficial ownership of, and voting and dispositive power over, such 254,800 shares. 6 Item 1(a). Name of Issuer Whittaker Corporation Item 1(b). Address of Issuer's Principal Executive Offices 10880 Wilshire Boulevard Los Angeles, California 90024 Item 2(a). Names of Persons Filing Marcus Schloss & Co., Inc. ("Marcus Schloss"), Douglas Schloss and Richard P. Schloss. Each of Douglas Schloss and Richard P. Schloss may be deemed to control Marcus Schloss. Item 2(b). Address of Principal Business Office One Whitehall Street New York, New York 10004 Item 2(c). Citizenship Marcus Schloss is a New York corporation. Douglas Schloss and Richard P. Schloss are both United States citizens. Item 2(d). Title of Class of Securities Common Stock, par value $.01 per share Item 2(e). CUSIP Number 966680407 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [X] Broker or Dealer registered under Section 15 of the Act+ (b) [ ] Bank as defined in Section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act (d) [ ] Investment Company registered under Section 8 of the Investment Company Act 7 (e) [ ] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see 240.13d- 1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with 240.13d-1(b)(ii)(G) (h) [ ] Group, in accordance with 240.13d- 1(b)(1)(ii)(H) + Marcus Schloss only. Douglas Schloss and Richard P. Schloss are individuals. Item 4. Ownership Not applicable. Item 5. Ownership of Five Percent or Less of a Class On November 22, 1989, Marcus Schloss filed a Statement on Schedule 13D in respect of the Common Stock, par value $.01 per share (the "Shares"), of Whittaker Corporation. Marcus Schloss subsequently filed Amendment Nos. 1 through 6 to the Schedule 13D. In Amendment No. 6, filed jointly on January 4, 1994 by Marcus Schloss and by Douglas Schloss and Richard P. Schloss, as control persons thereof, Marcus Schloss reported that it no longer held the Shares in connection with arbitrage activities and that, in consequence, any future filings by it in respect of the Shares would be made on Schedule 13G rather than Schedule 13D. At December 31, 1994, and on the date hereof, Marcus Schloss beneficially owned less than 5.0% of the outstanding Shares. Accordingly, this Schedule 13G is being filed solely for the purpose of disclosing that Marcus Schloss has ceased to have beneficial ownership of more than 5.0% of the Shares. Item 6. Ownership of More Than Five Percent on Behalf of Another Person Not applicable. 8 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 each of the undersigned certifies that, to the best of its or his 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 purposes or effect. DISCLAIMER Each of Douglas Schloss and Richard P. Schloss hereby declares that the filing of this Schedule 13G shall not be construed as an admission that he is, for the purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered herein. SIGNATURES After reasonable inquiry and to the best knowledge and belief of each, the undersigned certify that 9 the information set forth in this statement is true, complete and correct. Date: February 13, 1995 MARCUS SCHLOSS & CO., INC. By: /s/ Douglas Schloss Douglas Schloss Chairman DOUGLAS SCHLOSS /s/ Douglas Schloss Douglas Schloss RICHARD P. SCHLOSS /s/ Richard P. Schloss Richard P. Schloss 10 EXHIBIT INDEX Page Exhibit A Joint Filing Agreement 11 11 Exhibit A JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of Whittaker Corporation, and that this Agreement be included as an Exhibit to such joint filing. This Agreement may be executed in any number of counterparts all of which taken together shall constitute one and the same instrument. IN WITNESS WHEREOF, the undersigned hereby execute this Agreement this 13th day of February, 1995. /s/ Douglas Schloss Douglas Schloss /s/ Richard P. Schloss Richard P. Schloss MARCUS SCHLOSS & CO., INC. By: /s/ Douglas Schloss Douglas Schloss Chairman -----END PRIVACY-ENHANCED MESSAGE-----