-----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, HPeen5ZoTeW3L9H0aAkp/ZYjtvYBI0bgKQHKWtx3Lo3HuLYEZkTIkwFfrWHopPii OKkEK+7z6r7NFFD4shb+BQ== 0001209191-10-058008.txt : 20101202 0001209191-10-058008.hdr.sgml : 20101202 20101202173641 ACCESSION NUMBER: 0001209191-10-058008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20101130 FILED AS OF DATE: 20101202 DATE AS OF CHANGE: 20101202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Becker Steven R CENTRAL INDEX KEY: 0001349005 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33142 FILM NUMBER: 101229210 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Drapkin Matthew A CENTRAL INDEX KEY: 0001458693 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33142 FILM NUMBER: 101229209 MAIL ADDRESS: STREET 1: 10801 NESBITT AVENUE SOUTH CITY: BLOOMINGTON STATE: MN ZIP: 55437 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PHYSICIANS FORMULA HOLDINGS, INC. CENTRAL INDEX KEY: 0001269871 STANDARD INDUSTRIAL CLASSIFICATION: PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS [2844] IRS NUMBER: 200340099 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1055 WEST 8TH STREET CITY: AZUSA STATE: CA ZIP: 91702 BUSINESS PHONE: 626-334-3395 MAIL ADDRESS: STREET 1: 1055 WEST 8TH STREET CITY: AZUSA STATE: CA ZIP: 91702 FORMER COMPANY: FORMER CONFORMED NAME: PFI HOLDINGS CORP DATE OF NAME CHANGE: 20031112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Becker Drapkin Management, L.P. CENTRAL INDEX KEY: 0001346543 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33142 FILM NUMBER: 101229214 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: (214) 756-6037 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 FORMER NAME: FORMER CONFORMED NAME: SRB Management, L.P. DATE OF NAME CHANGE: 20051209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BC Advisors LLC CENTRAL INDEX KEY: 0001349003 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33142 FILM NUMBER: 101229211 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-756-6073 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BECKER DRAPKIN PARTNERS, L.P. CENTRAL INDEX KEY: 0001451721 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33142 FILM NUMBER: 101229212 BUSINESS ADDRESS: STREET 1: C/O BECKER DRAPKIN MANAGEMENT, L.P. STREET 2: 300 CRESCENT COURT, SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: (214) 756-6016 MAIL ADDRESS: STREET 1: C/O BECKER DRAPKIN MANAGEMENT, L.P. STREET 2: 300 CRESCENT COURT, SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 FORMER NAME: FORMER CONFORMED NAME: SRB GREENWAY OPPORTUNITY FUND LP DATE OF NAME CHANGE: 20081209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BECKER DRAPKIN PARTNERS (QP), L.P. CENTRAL INDEX KEY: 0001451722 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33142 FILM NUMBER: 101229213 BUSINESS ADDRESS: STREET 1: C/O BECKER DRAPKIN MANAGEMENT, L.P. STREET 2: 300 CRESCENT COURT, SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: (214) 756-6016 MAIL ADDRESS: STREET 1: C/O BECKER DRAPKIN MANAGEMENT, L.P. STREET 2: 300 CRESCENT COURT, SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 FORMER NAME: FORMER CONFORMED NAME: SRB GREENWAY OPPORTUNITY FUND (QP) LP DATE OF NAME CHANGE: 20081209 4 1 c09187_4x2.xml MAIN DOCUMENT DESCRIPTION X0303 4 2010-11-30 0001269871 PHYSICIANS FORMULA HOLDINGS, INC. FACE 0001346543 Becker Drapkin Management, L.P. 300 CRESCENT COURT, SUITE 1111 DALLAS TX 75201 0 0 1 0 0001451722 BECKER DRAPKIN PARTNERS (QP), L.P. 300 CRESCENT COURT, SUITE 1111 DALLAS TX 75201 0 0 1 0 0001451721 BECKER DRAPKIN PARTNERS, L.P. 300 CRESCENT COURT, SUITE 1111 DALLAS TX 75201 0 0 1 0 0001349003 BC Advisors LLC 300 CRESCENT COURT, SUITE 1111 DALLAS TX 75201 0 0 1 0 0001349005 Becker Steven R 300 CRESCENT COURT, SUITE 1111 DALLAS TX 75201 0 0 1 0 0001458693 Drapkin Matthew A 300 CRESCENT COURT, SUITE 1111 DALLAS TX 75201 0 0 1 0 Common Stock 2010-11-30 4 S 0 59800 3.53 D 1398857 I See Footnotes This statement is jointly filed by and on behalf of each of Becker Drapkin Management, L.P. ("BD Management"), Becker Drapkin Partners (QP), L.P. ("QP Fund"), Becker Drapkin Partners, L.P. ("LP Fund"), BC Advisors, LLC ("BC Advisors"), Steven R. Becker and Matthew A. Drapkin. QP Fund and LP Fund are the direct beneficial owners of the securities covered by this report. BD Management is the general partner of each of QP Fund and LP Fund and may be deemed to beneficially own securities owned by QP Fund and LP Fund. BC Advisors is the general partner of BD Management and may be deemed to beneficially own securities owned by BD Management. Steven R. Becker and Matthew A. Drapkin are the controlling persons of BC Advisors and may be deemed to beneficially own securities owned by BC Advisors. Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. Includes (a) 1,246,250 shares owned by QP Fund, and (b) 152,607 shares owned by LP Fund. Each reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer. Exhibit 99.1 - Joint Filer Information (furnished herewith) Exhibit 99.2 - Joint Filing Agreement (furnished herewith) BECKER DRAPKIN MANAGEMENT, L.P., By: BC Advisors, LLC, Its: General Partner, By: /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2010-12-02 BECKER DRAPKIN PARTNERS (QP), L.P., By: Becker Drapkin Management, L.P., Its: General Partner, By: BC Advisors, LLC, Its: General Partner, By: /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2010-12-02 BECKER DRAPKIN PARTNERS, L.P., By: Becker Drapkin Management, L.P., Its: General Partner, By: BC Advisors, LLC, Its: General Partner, By: /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2010-12-02 BC ADVISORS, LLC, By: /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2010-12-02 STEVEN R. BECKER, By: /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2010-12-02 MATTHEW A. DRAPKIN, By: /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2010-12-02 EX-99.1 2 c09187_99x1.htm ADDITIONAL EXHIBITS Exhibit 99.1
EXHIBIT 99.1
JOINT FILER INFORMATION
Other Reporting Person(s)
1. BECKER DRAPKIN PARTNERS (QP), L.P.
     
Item   Information
Name:
  BECKER DRAPKIN PARTNERS (QP), L.P.
 
    
Address:
  300 Crescent Court, Suite 1111, Dallas, Texas 75201
 
    
Designated Filer:
  Becker Drapkin Management, L.P.
 
    
Date of Event Requiring
Statement (Month/Day/Year):
  November 30, 2010
 
    
Issuer Name and Ticker or
Trading Symbol:
  Physicians Formula Holdings, Inc. [FACE]
 
    
Relationship of Reporting
Person(s) to Issuer:
  10% Owner
 
    
If Amendment, Date Original
Filed (Month/Day/Year):
  Not Applicable
 
    
Individual or Joint/Group Filing:
  Form filed by More than One Reporting Person
 
    
             
Signature:   By: Becker Drapkin Management, L.P.  
    Its: General Partner
 
            
    By: BC Advisors, LLC
    Its: General Partner
 
            
 
  By:   /s/ Ashley Sekimoto    
 
           
 
  Name:   Ashley Sekimoto    
 
  Title:   Attorney-in-Fact    
 
  Date:   December 2, 2010    

 

 

2. BECKER DRAPKIN PARTNERS, L.P.
     
Item   Information
Name:
  BECKER DRAPKIN PARTNERS, L.P.
 
    
Address:
  300 Crescent Court, Suite 1111, Dallas, Texas 75201
 
    
Designated Filer:
  Becker Drapkin Management, L.P.
 
    
Date of Event Requiring
Statement (Month/Day/Year):
  November 30, 2010
 
    
Issuer Name and Ticker or
Trading Symbol:
  Physicians Formula Holdings, Inc. [FACE]
 
    
Relationship of Reporting
Person(s) to Issuer:
  10% Owner
 
    
If Amendment, Date Original
Filed (Month/Day/Year):
  Not Applicable
 
    
Individual or Joint/Group Filing:
  Form filed by More than One Reporting Person
 
    
             
Signature:   By: Becker Drapkin Management, L.P.
    Its: General Partner
 
            
    By: BC Advisors, LLC
    Its: General Partner
 
            
 
  By:   /s/ Ashley Sekimoto    
 
           
 
  Name:   Ashley Sekimoto    
 
  Title:   Attorney-in-Fact    
 
  Date:   December 2, 2010    

 

 

3. BC ADVISORS, LLC
     
Item   Information
Name:
  BC ADVISORS, LLC
 
    
Address:
  300 Crescent Court, Suite 1111, Dallas, Texas 75201
 
    
Designated Filer:
  Becker Drapkin Management, L.P.
 
    
Date of Event Requiring
Statement (Month/Day/Year):
  November 30, 2010
 
    
Issuer Name and Ticker or
Trading Symbol:
  Physicians Formula Holdings, Inc. [FACE]
 
    
Relationship of Reporting
Person(s) to Issuer:
  10% Owner
 
    
If Amendment, Date Original
Filed (Month/Day/Year):
  Not Applicable
 
    
Individual or Joint/Group Filing:
  Form filed by More than One Reporting Person
 
    
           
Signature:
  By:   /s/ Ashley Sekimoto
 
       
 
  Name:   Ashley Sekimoto
 
  Title:   Attorney-in-Fact
 
  Date:   December 2, 2010

 

 

4. STEVEN R. BECKER
     
Item   Information
Name:
  STEVEN R. BECKER
 
    
Address:
  300 Crescent Court, Suite 1111, Dallas, Texas 75201
 
    
Designated Filer:
  Becker Drapkin Management, L.P.
 
    
Date of Event Requiring
Statement (Month/Day/Year):
  November 30, 2010
 
    
Issuer Name and Ticker or
Trading Symbol:
  Physicians Formula Holdings, Inc. [FACE]
 
    
Relationship of Reporting
Person(s) to Issuer:
  10% Owner
 
    
If Amendment, Date Original
Filed (Month/Day/Year):
  Not Applicable
 
    
Individual or Joint/Group Filing:
  Form filed by More than One Reporting Person
           
Signature:
  By:   /s/ Ashley Sekimoto
 
       
 
  Name:   Ashley Sekimoto
 
  Title:   Attorney-in-Fact
 
  Date:   December 2, 2010

 

 

5. MATTHEW A. DRAPKIN
     
Item   Information
Name:
  MATTHEW A. DRAPKIN
 
    
Address:
  300 Crescent Court, Suite 1111, Dallas, Texas 75201
 
    
Designated Filer:
  Becker Drapkin Management, L.P.
 
    
Date of Event Requiring
Statement (Month/Day/Year):
  November 30, 2010
 
    
Issuer Name and Ticker or
Trading Symbol:
  Physicians Formula Holdings, Inc. [FACE]
 
    
Relationship of Reporting
Person(s) to Issuer:
  10% Owner
 
    
If Amendment, Date Original
Filed (Month/Day/Year):
  Not Applicable
 
    
Individual or Joint/Group Filing:
  Form filed by More than One Reporting Person
           
Signature:
  By:   /s/ Ashley Sekimoto
 
       
 
  Name:   Ashley Sekimoto
 
  Title:   Attorney-in-Fact
 
  Date:   December 2, 2010

 

 

EX-99.2 3 c09187_99x2.htm ADDITIONAL EXHIBITS Exhibit 99.2
EXHIBIT 99.2
JOINT FILING AGREEMENT
Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto. This agreement shall remain in full force and effect until revoked by any party hereto in a signed writing provided to each other party hereto, and then only with respect to such revoking party.
IN WITNESS WHEREOF, each party hereto, being duly authorized, has caused this agreement to be executed and effective as of the date first written above.
Dated: December 2, 2010
         
  BECKER DRAPKIN MANAGEMENT, L.P.
 		  
  By:   BC Advisors, LLC    
  Its: General Partner   
 
  By:   /s/ Ashley Sekimoto    
  Name:   Ashley Sekimoto   
  Title:   Attorney-in-Fact  
  Date:   December 2, 2010  
 
  BECKER DRAPKIN PARTNERS (QP), L.P.
 		  
  By:   Becker Drapkin Management, L.P.    
  Its: General Partner   
  By:   BC Advisors, LLC    
Its: General Partner   
 
  By:   /s/ Ashley Sekimoto    
  Name:   Ashley Sekimoto   
  Title:   Attorney-in-Fact    
  Date:   December 2, 2010  
 
  BECKER DRAPKIN PARTNERS, L.P.
 		  
  By:   Becker Drapkin Management, L.P.    
  Its: General Partner   
     
  By:   BC Advisors, LLC    
  Its: General Partner   
     
  By:   /s/ Ashley Sekimoto    
  Name:   Ashley Sekimoto   
  Title:   Attorney-in-Fact    
  Date:   December 2, 2010  
         
  BC ADVISORS, LLC
 		  
  By:   /s/ Ashley Sekimoto    
  Name:   Ashley Sekimoto   
  Title:   Attorney-in-Fact    
  Date:   December 2, 2010  
 
  STEVEN R. BECKER
 		  
  By:   /s/ Ashley Sekimoto    
  Name:   Ashley Sekimoto   
  Title:   Attorney-in-Fact    
  Date:   December 2, 2010  
 
  MATTHEW A. DRAPKIN
 		  
  By:   /s/ Ashley Sekimoto    
  Name:   Ashley Sekimoto   
  Title:   Attorney-in-Fact    
  Date:   December 2, 2010  
 

 

-----END PRIVACY-ENHANCED MESSAGE-----