-----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, V8U182MCAmRxkIxzwxtOxwI33qA/Ku8QhZoHnc4ByhCAj14ZLdvP8E3bq/71FiD4 atyEBghvOeOKHfq95bFjmA== 0000950135-97-000446.txt : 19970221 0000950135-97-000446.hdr.sgml : 19970221 ACCESSION NUMBER: 0000950135-97-000446 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970211 SROS: NYSE GROUP MEMBERS: ELAINE R. STEIN GROUP MEMBERS: STEIN ROBERT SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EKCO GROUP INC /DE/ CENTRAL INDEX KEY: 0000018827 STANDARD INDUSTRIAL CLASSIFICATION: METAL FORGING & STAMPINGS [3460] IRS NUMBER: 112167167 STATE OF INCORPORATION: DE FISCAL YEAR END: 0102 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-10179 FILM NUMBER: 97524869 BUSINESS ADDRESS: STREET 1: 98 SPIT BROOK RD CITY: NASHUA STATE: NH ZIP: 03062 BUSINESS PHONE: 6038881212 MAIL ADDRESS: STREET 1: 98 SPIT BROOK RD CITY: NASHUA STATE: NH ZIP: 03062 FORMER COMPANY: FORMER CONFORMED NAME: CENTRONICS CORP DATE OF NAME CHANGE: 19880504 FORMER COMPANY: FORMER CONFORMED NAME: CENTRONICS DATA COMPUTER CORP DATE OF NAME CHANGE: 19870304 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STEIN ROBERT CENTRAL INDEX KEY: 0000942693 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: NH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O EKCO GROUP INC STREET 2: 98 SPIT BROOK ROAD CITY: NASHUA STATE: NH ZIP: 03062 MAIL ADDRESS: STREET 1: C/O EKCO GROUP INC STREET 2: 98 SPIT BROOK ROAD CITY: NASHUA STATE: NH ZIP: 03062 SC 13D/A 1 EKCO GROUP, INC. AMENDMENT NO. 1 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1 )* Ekco Group, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 282 636 109 - -------------------------------------------------------------------------------- (CUSIP Number) Robert Stein, Ekco Group, Inc., 98 Spit Brook Rd., Suite 102, Nashua, NH 03062 (603) 888-1212 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 12, 1996 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for the other parties to whom copies are to be sent. *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). Page 1 of 7 pages No Exhibit Index 2 CUSIP NO. 282 636 109 13D PAGE 2 OF 7 PAGES - -------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ROBERT STEIN - Social Security No. ###-##-#### - -------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / - -------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 320,126 SHARES BENEFICIALLY ------------------------------------------------------------------------------------------ OWNED BY 8 SHARED VOTING POWER 135,088 EACH REPORTING ------------------------------------------------------------------------------------------ PERSON 9 SOLE DISPOSITIVE POWER 320,126 WITH ------------------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 135,088 - --------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 455,134 - -------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* /X/ Excludes 200 shares beneficially owned by the children of the reporting person, as to which the reporting person disclaims beneficial ownership pursuant to Rule 13d-4. - -------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 2.4% - -------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT! 3 CUSIP NO. 282 636 109 13D PAGE 3 OF 7 PAGES - -------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ELAINE R. STEIN - Social Security No. ###-##-#### - -------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / - -------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 0 SHARES BENEFICIALLY ------------------------------------------------------------------------------------------ OWNED BY 8 SHARED VOTING POWER 135,088 EACH REPORTING ------------------------------------------------------------------------------------------ PERSON 9 SOLE DISPOSITIVE POWER 0 WITH ------------------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 135,088 - --------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 135,088 - -------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* /X/ Excludes 320,126 shares which may be deemed beneficially owned by the reporting person, and 200 shares owned by the reporting person's children, as to which the reporting person disclaims beneficial ownership pursuant to Rule 13d-4. - -------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 0.7% - -------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT! 4 This statement is being filed with respect to 455,134 shares of capital stock of the Issuer, which may be deemed beneficially owned by Robert Stein and Elaine R. Stein. Item 1. Security and Issuer ------------------- Title and Class of the Issuer's Equity Securities: ------------------------------------------------- No changes. Name and Address of the Principal Executive Offices of the Issuer: ----------------------------------------------------------------- No changes. Item 2. Identity and Background ----------------------- I. ROBERT STEIN ------------ No changes. II. ELAINE R. STEIN --------------- No changes. Item 3. Source and Amount of Funds or Other Consideration ------------------------------------------------- (1) During 1996, Mr. Stein acquired 5,753 shares of the Issuer's Common Stock through purchases made pursuant to the Issuer's 1984 and 1985 Restricted Stock Plans. Of such shares, until December 1996, 4,314 were held in escrow, were subject to repurchase by the Issuer, and were subject to certain transfer restrictions. The source of funds for these shares was Robert Stein's personal funds. Elaine Stein may be deemed to be the beneficial owner of such shares; (2) On December 4, 1996, Mr. Stein's employment with the Issuer terminated. Under the terms of a certain severance agreement with the Issuer, the Issuer waived its rights to repurchase 103,795 shares of Common Stock subject to restriction on transfer and waived all restrictions on transfer thereon other than those imposed by applicable federal and state securities laws. In addition, all stock options were terminated except for options to purchase 124,000 shares and 69,000 shares of the Issuer's Common Stock pursuant to Stock Option Agreements dated June 22, 1988 and January 18, 1990, respectively. (3) On December 17, 1996, Robert Stein and Elain Stein each sold 14,500 shares of the Issuer's Common Stock. Page 4 of 7 5 (4) 135,088 shares of Common Stock are owned jointly by Robert Stein and Elaine R. Stein. Item 4. Purpose of Transaction ---------------------- No change. Item 5. Interest in Securities of the Issuer ------------------------------------ (a) Aggregate Number of Shares and Percentage The aggregate number of shares of capital stock of the Issuer of which Robert Stein acknowledges beneficial ownership is 455,134. Of such shares, 135,088 shares of Common Stock are owned jointly by Robert Stein and Elaine R. Stein. Robert Stein owns individually the remaining 320,126 shares as follows: 2,884 shares of Common Stock and 14,265 shares of ESOP Preferred Stock are held by the Trust of the ESOP; and 193,000 shares of Common Stock are covered by currently exercisable stock options which are exercisable until June 4, 1997. Elaine R. Stein may be deemed to be the beneficial owner of the foregoing 320,126 shares of capital stock of the Issuer owned by Robert Stein. The 455,134 shares (assuming conversion of the ESOP Preferred Stock and exercise of the options) represent 2.4% of the outstanding shares of capital stock of the Issuer based on Robert Stein's best knowledge and belief. Robert Stein and Elaine R. Stein disclaim beneficial ownership of 200 shares of Common Stock owned by their children. (b) Voting and Dispositive Power Robert Stein possesses sole voting power with respect to 320,126 shares of the 455,132 shares of capital stock of the Issuer which he acknowledges beneficial ownership and sole dispositive power with respect to 320,126 of such shares. Robert Stein and Elaine R. Stein possess joint voting and dispositive power with respect to the 135,088 shares of Common Stock which they own jointly. Neither Robert Stein nor Elaine R. Stein possess any voting or dispositive power with respect to the 200 shares of Common Stock owned by their children. (c) Transactions in Securities The following are the transactions in securities of Robert Stein and Elaine Stein have effected since the filing of the original Schedule: On July 2, October 2, and December 31, 1995, Robert Stein acquired 491,490 and 491 shares, respectively, of the Issuer's Common Stock pursuant to the Page 5 of 7 6 Issuer's 1985 Restricted Stock Plan. In addition, on June 12, 1995, Robert Stein made a gift of 3,000 shares of the Issuer's Common Stock. Also, as of December 31, 1995, Robert Stein had acquired shares of Preferred Stock and shares of Common Stock pursuant to the Issuer's Empoyees' Stock Ownership Plan. On April 1, July 1, September 30, and December 4, 1996, Robert Stein acquired 1,438, 1,438, 1,438 and 1,439 shares, respectively of the Issuer's Common Stock pursuant to the Issuer's 1985 Restricted Stock Plan, On December 17, 1996, Robert Stein and Elaine R. Stein each sold 14,500 shares of the Issuer's Common Stock. (d) Receipt of Proceeds No change. (e) Less Than Five Percent Ownership On December 12, 1996, Robert Stein and Elaine R. Stein owned less than 5% of the Issuer's Common Stock. Item 6. Contracts, Arrangements, Understandings or Relationships with ------------------------------------------------------------- Respect to Securities of the Issuer ----------------------------------- No change. Item 7. Material to be Filed as Exhibits -------------------------------- None. [THE REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK.] Page 6 of 7 7 Signatures ---------- After reasonably inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Date: February 11, 1997 /s/ ROBERT STEIN ------------------------- Robert Stein Date: February 11, 1997 /s/ ELAINE R. STEIN ------------------------- Elaine R. Stein Page 7 of 7 -----END PRIVACY-ENHANCED MESSAGE-----