-----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, Oe1ftawoMZw3Jfvvo8JjKMW9C/w+PD134lcbJml94PTZsqvZ2f1i2LQ+5EXffow+ HhoEbyU/ndkOR/XhS/OGTw== 0000914121-99-001275.txt : 19991231 0000914121-99-001275.hdr.sgml : 19991231 ACCESSION NUMBER: 0000914121-99-001275 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991230 GROUP MEMBERS: GRAZIADIO FAMILY TRUST GROUP MEMBERS: PHILIP M. BARDACK GROUP MEMBERS: STEVAN R. CALVILLO GROUP MEMBERS: WILLIAM R. LANG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: IMPERIAL BANCORP CENTRAL INDEX KEY: 0000049899 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 952575576 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-06590 FILM NUMBER: 99783962 BUSINESS ADDRESS: STREET 1: 9920 S LA CIENEGA BLVD CITY: INGLEWOOD STATE: CA ZIP: 90301 BUSINESS PHONE: 3104175600 MAIL ADDRESS: STREET 2: PO BOX 92991 CITY: LOS ANGELES STATE: CA ZIP: 90009 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GRAZIADIO FAMILY TRUST CENTRAL INDEX KEY: 0001102159 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 958556063 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 16633 VENTURA BLVD SUITE 510 CITY: ENCINO STATE: CA ZIP: 91436 MAIL ADDRESS: STREET 1: 16633 VENTURA BLVD SUITE 510 CITY: ENCINO STATE: CA ZIP: 91436 SC 13D/A 1 AMENDMENT NO. 2 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (RULE 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 2)* Imperial Bancorp - -------------------------------------------------------------------------------- (Name of Issuer) Common Shares - -------------------------------------------------------------------------------- (Title of Class of Securities) 452556-10-3 - -------------------------------------------------------------------------------- (CUSIP Number) Phillip M. Bardack 16633 Ventura Boulevard Suite 510 Encino, CA 91436 (818) 784-3552 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 9, 1999 - -------------------------------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box |_|. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for 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 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). SCHEDULE 13D CUSIP No. 452556-10-3 Page 2 of 9 Pages - --------------------- ----------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Graziadio Family Trust S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 95-6556063 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a)|_| (b)|X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) WC - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)|_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION California, U.S.A. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 3,015,134 NUMBER OF SHARES -------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 3,015,134 EACH REPORTING -------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 3,015,134 -------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 3,015,134 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,015,134 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)|_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) 00 - -------------------------------------------------------------------------------- CUSIP No. 452556-10-3 Page 3 of 9 Pages - ------------------- ----------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Philip M. Bardack - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a)|_| (b)|X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)|_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 3,606 NUMBER OF SHARES -------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 3,015,134 EACH REPORTING -------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 3,606 -------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 3,015,134 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,018,740 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)|_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - -------------------------------------------------------------------------------- CUSIP No. 452556-10-3 Page 4 of 9 Pages - --------------------- ----------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Stevan R. Calvillo - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a)|_| (b)|X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)|_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 18,650 NUMBER OF SHARES -------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 3,015,134 EACH REPORTING -------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 18,650 -------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 3,015,134 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,033,784 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)|X| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - -------------------------------------------------------------------------------- CUSIP No. 452556-10-3 Page 5 of 9 Pages - --------------------- ----------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON William R. Lang - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a)|_| (b)|X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)|_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF SHARES -------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 3,015,134 EACH REPORTING -------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 0 -------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 3,015,134 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,015,134 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)|_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - -------------------------------------------------------------------------------- INTRODUCTION This Amendment No. 2 relates to the Schedule 13D filed on behalf of the Graziadio Family Trust (the "Trust") with the Securities and Exchange Commission on April 2, 1981, and Amendment No. 1 thereto filed on behalf of the Trust and Phillip M. Bardack, Lee Harrington and Robert C. Muehlenbeck, as Trustees, on March 23, 1988. Items 2 through 5 of the Schedule 13D and Amendment No. 1 are amended and supplemented as follows: ITEM 2. IDENTITY AND BACKGROUND. (a) This filing is made by Phillip M. Bardack, Stevan R. Calvillo and William R. Lang, as the current Trustees of the Trust (collectively the "Trustees"). This filing is not an acknowledgment that the Trustees individually or collectively possess beneficial ownership of the Imperial Bancorp Common Stock (the "Stock") owned by the Trust. The Trustees, as individuals specifically disclaim beneficial ownership of the Stock held by the Trust. (b) Communications regarding the Trust and the Trustees should be addressed to: c/o Phillip M. Bardack, Trustee 16633 Ventura Blvd., Suite 510 Encino, California 91436-1807 Tel: (818) 990-1125 Fax: (818) 784-3552 The addresses of the individuals (Trustees) are as follows: Phillip M. Bardack, C.P.A. 16633 Ventura Blvd., Suite 510 Encino, California 91436-1807 Stevan R. Calvillo Calvillo & Rendon LLP, Lawyers 200 Oceangate, Suite 430 Long Beach, CA 90802-4327 William R. Lang, C.P.A. Balser, Horowitz, Frank & Wakeling, An Accountancy Corporation 3000 West McArthur Blvd., Suite 600 Santa Ana, CA 92704 (c) The filing individuals make this filing solely in their capacities as Trustees of the Trust, the direct beneficiaries of which are parties 6 of 9 unrelated to the Trustees. The Trustees have not formed a group or other organization with regard to ownership of the Stock. See Item 2(a) above. (d) No such convictions. (e) No such proceedings. (f) The filing individuals are citizens of the United States. The Trust was formed under the laws of the State of California. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. The Trust has purchased an additional 809,350 shares of the Stock. Funds used for these purchases were borrowed on margin from the Trust's brokerage account. From time to time the Trust has purchased shares of the Stock in the open market through broker-dealers and intends to sell from time to time as market conditions warrant. Funds used for these purchases were working capital of the Trust. The purchases on margin were made pursuant to the broker-dealer standard forms, terms and conditions. ITEM 4. PURPOSE OF TRANSACTION. The acquisition of the shares reported hereby was made for the purpose of enhancing the Trust investment portfolio. From time to time, the Trust has purchased in the open market or otherwise and may, from time to time purchase or sell shares of the Stock. However, the reporting persons have no current plans or proposals which would relate to or result in any of the actions enumerated at Item 4 of Schedule 13D. The undersigned make this filing in recognition of their shared voting and dispositive power with respect to the shares held by the Trust. Except as to actions taken by them jointly with respect to Imperial Bancorp's securities on behalf of the Trust, each of the undersigned expressly disclaims membership in and existence of a group. The undersigned, and each of them, disclaim beneficial ownership of all shares held by the Trust. 7 of 9 ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) The persons named in Item 2 are beneficial owners of the outstanding stock as follows: Aggregate Number of Shares Name Beneficially Owned Percentage ---- ------------------ ---------- Graziadio Family Trust 3,015,134 7.3% Phillip M. Bardack 3,018,740 7.3% Stevan R. Calvillo 3,033,784 7.3% William R. Lang 3,015,134 7.3% The shares beneficially owned by Mr. Calvillo exclude approximately 300,000 shares beneficially owned by Mr. Calvillo's wife. (b) GRAZIADIO FAMILY PHILLIP M. STEVAN R. TRUST BARDACK CALVILLO WILLIAM R. LANG ----- ------- -------- --------------- SOLE POWER TO VOTE/ DIRECT VOTE 3,015,134 3,606 18,650 0 SHARED POWER TO VOTE/ DIRECT VOTE 3,015,134 3,015,134 3,015,134 3,015,134 SOLE POWER TO DISPOSE/DIRECT DISPOSITION 3,015,134 3,606 18,650 0 SHARED POWER TO DISPOSE/DIRECT DISPOSITION 3,015,134 3,015,134 3,015,134 3,015,134 (c) During the last 60 days, the Trust acquired beneficial ownership of 908,350 shares of Imperial Bancorp. During this time the Trust purchased shares of the Stock in the open market through a broker-dealer as follows (price excluding commissions): Date Shares Purchased Price Per Share ---- ---------------- --------------- November 8, 1999 200,000 $24 November 9, 1999 221,100 $24 November 9, 1999 5,000 $24 11/16 November 9, 1999 4,000 $23 13/16 November 9, 1999 100 $24 5/8 November 12, 1999 98,000 $25 November 12, 1999 1,000 $24 3/4 November 12, 1999 1,000 $24 11/16 November 17, 1999 3,100 $26 November 18, 1999 25,000 $26 November 18, 1999 1,500 $25 5/8 November 18, 1999 23,500 $25 3/4 November 23, 1999 2,000 $23 1/2 November 23, 1999 6,250 $23 3/4 November 24, 1999 5,000 $24 1/4 November 24, 1999 5,000 $24 1/8 November 29, 1999 4,000 $23 3/8 November 29, 1999 5,000 $23 1/4 November 29, 1999 5,000 $23 1/4 December 1, 1999 10,000 $24 December 1, 1999 100 $23 7/8 December 3, 1999 20,000 $25 1/16 December 13, 1999 5,000 $21 1/2 December 13, 1999 10,000 $21 1/4 December 13, 1999 23,500 $21 9/16 December 13, 1999 1,500 $21 5/8 December 14, 1999 3,600 $21 5/8 December 14, 1999 1,000 $21 11/16 December 15, 1999 5,500 $22 11/16 December 15, 1999 1,500 $22 3/4 December 15, 1999 7,500 $22 13/16 December 15, 1999 5,000 $22 5/8 December 15, 1999 5,000 $23 December 16, 1999 2,900 $22 5/8 December 16, 1999 10,000 $22 15/16 December 17, 1999 25,000 $23 1/8 December 17, 1999 12,000 $23 5/8 December 17, 1999 25,000 $23 December 17, 1999 5,000 $23 1/4 December 17, 1999 14,700 $23 11/16 -------- --------- TOTAL 809,350 Other than the above, none of the reporting persons individually has traded in the Company's stock during the relevant period preceding this filing or that acquisition. 8 of 9 (d) The Trust, as owner of all shares disclosed herein, will receive all dividends from and shall, at such time as the securities are sold, receive all proceeds from the sale of all shares of the issuer's stock held by it. (e) Not applicable. 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. DATE: December 29, 1999 GRAZIADIO FAMILY TRUST By: /s/ Phillip M. Bardack --------------------------- Phillip M. Bardack, Trustee By: /s/ Stevan R. Calvillo --------------------------- Stevan R. Calvillo, Trustee By: /s/ William R. Lang ------------------------- William R. Lang, Trustee 9 of 9 -----END PRIVACY-ENHANCED MESSAGE-----