-----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, HlCqIKEO4MWcE0j3FO/k0LuRvuQ1aciyKUNN9bwTKhYhuoJyAcopP5RgDqghu8a6 rtY9vzUfxRTOJ+VuDPf3xw== 0000932384-99-000058.txt : 19990217 0000932384-99-000058.hdr.sgml : 19990217 ACCESSION NUMBER: 0000932384-99-000058 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 GROUP MEMBERS: BERGER ASSOCIATES INC GROUP MEMBERS: KANSAS CITY SOUTHERN INDUSTRIES INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPIEGEL INC CENTRAL INDEX KEY: 0000276641 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-CATALOG & MAIL-ORDER HOUSES [5961] IRS NUMBER: 362593917 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-38852 FILM NUMBER: 99541780 BUSINESS ADDRESS: STREET 1: 3500 LACEY RD CITY: DOWNERS GROVE STATE: IL ZIP: 60515-5432 BUSINESS PHONE: 7089868800 MAIL ADDRESS: STREET 1: 3500 LACEY ROAD CITY: DOWNERS GROVE STATE: IL ZIP: 60515-5432 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERGER ASSOCIATES INC CENTRAL INDEX KEY: 0000903157 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 210 UNIVERSITY BLVD STREET 2: STE 900 CITY: DENVER STATE: CO ZIP: 80206 BUSINESS PHONE: 3033290200 MAIL ADDRESS: STREET 1: 210 UNIVERSITY BLVD STREET 2: STE 900 CITY: DENVER STATE: CO ZIP: 80206 SC 13G 1 SCHEDULE 13G - SPIEGEL, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. __)* SPIEGEL, INC./1/ -------------------------------------------------------------- (Name of Issuer) COMMON STOCK, CLASS A -------------------------------------------------------------- (Title of Class of Securities) 848457107 ------------------------------------ (CUSIP Number) July 13, 1998 ----------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Scheule is filed: |X| Rule 13d-1(b) |_| Rule 13d-1(c) |_| Rule 13d-1(d) - -------------------- \1\ 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). Schedule 13G Page 2 of 9 CUSIP No. 848457107 Spiegel, Inc. - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Berger Associates, Inc. ID No. 13-2750052 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 941,500 ------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH 941,500 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 941,500 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.4% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IA, CO - -------------------------------------------------------------------------------- Schedule 13G Page 3 of 9 CUSIP No. 848457107 Spiegel, Inc. - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Kansas City Southern Industries, Inc., ID No. 44-0663509 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| Excludes shares beneficially owned by Berger Associates, Inc. as to which beneficial ownership is disclaimed. - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON HC, CO - -------------------------------------------------------------------------------- Schedule 13G Page 4 of 9 CUSIP No. 848457107 Spiegel, Inc. - -------------------------------------------------------------------------------- Item 1. (a) Name of Issuer: SPIEGEL, INC. (b) Address of Issuer's Principal Executive Offices: 3500 LACEY ROAD DOWNERS GROVE, ILLINOIS 60515-5432 Item 2. (a) Name of Person Filing: (1) BERGER ASSOCIATES, INC. (2) KANSAS CITY SOUTHERN INDUSTRIES, INC. (b) Address of Principal Business Office: (1) BERGER ASSOCIATES, INC. 210 UNIVERSITY BOULEVARD, SUITE 900 DENVER, COLORADO 80206 (2) KANSAS CITY SOUTHERN INDUSTRIES, INC. 114 WEST 11TH STREET KANSAS CITY, MO 64105 (c) Citizenship: (1) Berger Associates, Inc.: DELAWARE (2) Kansas City Southern Industries, Inc.: DELAWARE (d) Title of Class of Securities: COMMON STOCK, CLASS A (e) CUSIP Number: 848457107 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) Broker or Dealer registered under Section 15 of the -------- Act Schedule 13G Page 5 of 9 CUSIP No. 848457107 Spiegel, Inc. - -------------------------------------------------------------------------------- (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 (e) X Investment Adviser registered under section 203 of -------- the Investment Advisers Act of 1940/1/ (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 section 240.13d-1(b)(1)(ii)(F) (g) X Parent Holding Company, in accordance with -------- section 240.13d-1(b)(1)(ii)(G) (Note: See Item 7)/2/ (h) Group, in accordance with section -------- 240.13d-1(b)(1)(ii)(H) Item 4. Ownership (a) Amount Beneficially Owned: (1) Berger Associates, Inc.: 941,500* *The filing of this statement shall not be construed as an admission that Berger Associates, Inc. is, for purposes of Sections 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this statement. Berger Associates, Inc. is a registered investment adviser which furnishes investment advice to a number of mutual funds and institutional clients. As a result of its role as investment adviser or sub-adviser to the Funds as well - -------------------- /1/ Berger Associates, Inc. is a registered investment adviser. /2/ Kansas City Southern Industries, Inc. ("KCSI") is the parent holding company of Berger Associates, Inc. KCSI owns 100% of Berger Associates, Inc. and is filing this statement solely as a result of such stock ownership which may be deemed to give KCSI control over Berger Associates, Inc. Schedule 13G Page 6 of 9 CUSIP No. 848457107 Spiegel, Inc. - -------------------------------------------------------------------------------- as institutional clients, Berger Associates, Inc. may be deemed to be the beneficial owner of securities held by such funds or clients. (2) Kansas City Southern Industries, Inc.: 0** **Kansas City Southern Industries, Inc. ("KCSI") does not own of record any shares of Spiegel, Inc., it has not engaged in any transaction in Spiegel, Inc. Common Stock, Class A, and it does not exercise any voting or investment power over shares of Spiegel, Inc. Common Stock, Class A. All shares reported herein have been acquired by Berger Associates, Inc.'s mutual fund clients and KCSI specifically disclaims beneficial ownership over any shares of Spiegel, Inc. Common Stock, Class A. Accordingly, the filing of this statement shall not be construed as an admission that KCSI is, for purposes of Sections 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this statement. (b) Percent of Class: (1) Berger Associates, Inc.: 6.4%* *The filing of this statement shall not be construed as an admission that Berger Associates, Inc. is, for purposes of Sections 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this statement. (2) Kansas City Southern Industries, Inc. 0.0%** **See Item 4(a)(2). (c) Number of shares as to which such person has: (1) Berger Associates, Inc.: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 941,500 (iii) Sole power to dispose or to direct the disposition of: 0 Schedule 13G Page 7 of 9 CUSIP No. 848457107 Spiegel, Inc. - -------------------------------------------------------------------------------- (iv) Shared power to dispose or to direct the disposition of: 941,500 (2) Kansas City Southern Industries, Inc. (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 0* *See Item 4(a)(2). (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 0** **See Item 4(a)(2). Item 5. Ownership of Five Percent or Less of a Class: N/A Item 6. Ownership of More than Five Percent on Behalf of Another Person: N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: THIS STATEMENT HAS BEEN FILED JOINTLY BY KCSI (PARENT HOLDING COMPANY) AND BERGER ASSOCIATES, INC. (ITS REGISTERED INVESTMENT ADVISER SUBSIDIARY) AND INFORMATION RELATING TO BERGER ASSOCIATES, INC. HAS BEEN INCLUDED HEREIN. Item 8. Identification and Classification of Members of the Group: N/A Item 9. Notice of Dissolution of Group: N/A Schedule 13G Page 8 of 9 CUSIP No. 848457107 Spiegel, Inc. - -------------------------------------------------------------------------------- Item 10. Certification: 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 ARE NOT HELD FOR THE PURPOSE OF OR WITH THE EFFECT OF CHANGING OR INFLUENCING THE CONTROL OF THE ISSUER OF SUCH SECURITIES AND WERE NOT ACQUIRED AND ARE NOT HELD IN CONNECTION WITH OR AS A PARTICIPANT IN ANY TRANSACTION HAVING SUCH PURPOSE OR EFFECT. Schedule 13G Page 9 of 9 CUSIP No. 848457107 Spiegel, Inc. - -------------------------------------------------------------------------------- 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. BERGER ASSOCIATES, INC.: February 16, 1999 --------------------------------------- Date /s/ Brian S. Ferrie --------------------------------------- Signature Brian S. Ferrie, Vice President - Compliance --------------------------------------- Name/Title KANSAS CITY SOUTHERN INDUSTRIES, INC. February 16, 1999 --------------------------------------- Date /s/ Louis G. Van Horn --------------------------------------- Signature Louis G. Van Horn, Vice President and Comptroller --------------------------------------- Name/Title EXHIBIT INDEX Exhibit Document Page No. - ------- -------- -------- A Joint Filing Agreement A-1 Exhibit A to SCHEDULE 13G Berger Associates, Inc. and KANSAS CITY SOUTHERN INDUSTRIES, INC. Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, Berger Associates, Inc., a Delaware corporation, and Kansas City Southern Industries, Inc., a Delaware corporation, hereby agree that the preceding Schedule 13G is being filed on behalf of each of them. IN WITNESS WHEREOF, the parties hereto have duly executed this agreement on this 16th day of February, 1999. BERGER ASSOCIATES, INC.: /S/ BRIAN S. FERRIE ----------------------------------------------- Brian S. Ferrie Vice President - Compliance KANSAS CITY SOUTHERN INDUSTRIES, INC. /S/ LOUIS G. VAN HORN ----------------------------------------------- Louis G. Van Horn, Vice President and Comptroller A-1 -----END PRIVACY-ENHANCED MESSAGE-----