-----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, QIJURlRn0GA9rmCoRDhTa8suC4zNu5hPKgoc87MrBxY8Gw9aEdMzC/mBW/mKAleZ f0hvmFGPu2RwNu4EWJ38rQ== 0000054727-97-000010.txt : 19970222 0000054727-97-000010.hdr.sgml : 19970222 ACCESSION NUMBER: 0000054727-97-000010 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NYSE GROUP MEMBERS: ANCHOR NATIONAL LIFE INSURANCE COMPANY GROUP MEMBERS: ELI BROAD GROUP MEMBERS: SUNAMERICA INC GROUP MEMBERS: SUNAMERICA LIFE INSURANCE COMPANY SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROCKFORD INDUSTRIES INC CENTRAL INDEX KEY: 0000945901 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE LESSORS [6172] IRS NUMBER: 330075112 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45023 FILM NUMBER: 97534351 BUSINESS ADDRESS: STREET 1: 1851 EAST FIRST ST STREET 2: STE 600 CITY: SANTA ANA STATE: CA ZIP: 92705 BUSINESS PHONE: 7145477166 MAIL ADDRESS: STREET 1: 1851 E FIRST ST STE 600 CITY: SANTA ANA STATE: CA ZIP: 92705 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SUNAMERICA INC CENTRAL INDEX KEY: 0000054727 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 860176061 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1 SUNAMERICA CENTER CITY: LOS ANGELES STATE: CA ZIP: 90067-6022 BUSINESS PHONE: 3107726000 FORMER COMPANY: FORMER CONFORMED NAME: KAUFMAN & BROAD INC DATE OF NAME CHANGE: 19890515 FORMER COMPANY: FORMER CONFORMED NAME: KAUFMAN & BROAD BUILDING CO DATE OF NAME CHANGE: 19711006 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)(1) ROCKFORD INDUSTRIES, INC. (Name of Issuer) ORDINARY COMMON STOCK, NO PAR VALUE (Title of Class of Securities) 773259 10 6 (CUSIP Number) ________________________ _______________________ (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 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, as amended (the "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). CUSIP No. 773259 10 6 G Page 2 of 10 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Eli Broad 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ Not applicable 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OR ORGANIZATION United States ___________________________________________________________________________ NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER None 6. SHARED VOTING POWER 400,373 shares of common stock, consisting of 125,000 shares of common stock currently owned and 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred stock of the issuer (all of such shares Reporting Person may be deemed to share dispositive power solely by reason of affiliation with the other Reporting Persons herein described but for which Reporting Person disclaims beneficial ownership) 7. SOLE DISPOSITIVE POWER None 8. SHARED DISPOSITIVE POWER 400,373 shares of common stock, consisting of 125,000 shares of common stock currently owned and 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred stock of the issuer (all of such shares Reporting Person may be deemed to share voting power solely by reason of affiliation with the other Reporting Persons herein described but for which Reporting Person disclaims beneficial ownership) ___________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 400,373 shares of common stock, consisting of 125,000 shares of common stock currently owned and 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred stock of the issuer (all of such shares Reporting Person may be deemed to beneficially own solely by reason of affiliation with the other Reporting Persons herein described but for which Reporting Person disclaims beneficial ownership) 10. CHECK BOX IF AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / Not applicable 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.15% (includes 9.15% of class for which Reporting Person may be deemed to beneficially own solely by reason of affiliation with the other Reporting Persons herein described but for which Reporting Person disclaims beneficial ownership) 12. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 773259 10 6 G Page 3 of 10 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SunAmerica Inc. (86-0176061) 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ Not applicable 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OR ORGANIZATION Maryland ___________________________________________________________________________ NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER None 6. SHARED VOTING POWER 400,373 shares of common stock, consisting of 125,000 shares of commons stock currently owned and 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred stock of the issuer (all of such shares Reporting Person may be deemed to share dispositive power solely by reason of affiliation with the other Reporting Persons herein described but for which Reporting Person disclaims beneficial ownership) 7. SOLE DISPOSITIVE POWER None 8. SHARED DISPOSITIVE POWER 400,373 shares of common stock, consisting of 125,000 shares of common stock currently owned and 275,373 shares of common stock issuable upon conversion of 70,000 shares of Services A Preferred stock of the issuer (all of such shares Reporting Person may be deemed to share voting power solely by reason of affiliation with the other Reporting Persons herein described but for which Reporting Person disclaims beneficial ownership) ___________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 400,373 shares of common stock, consisting of 125,000 shares of common stock currently owned and 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred stock of the issuer (all of such shares Reporting Person may be deemed to beneficially own solely by reason of affiliation with the other Reporting Persons herein described but for which Reporting Person disclaims beneficial ownership) 10. CHECK BOX IF AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / Not applicable 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.15% (includes 9.15% of class for which Reporting Person may be deemed to beneficially own solely by reason of affiliation with the other Reporting Persons herein described but for which Reporting Person disclaims beneficial ownership) 12. TYPE OF REPORTING PERSON* CO/HC *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 773259 10 6 G Page 4 of 10 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SunAmerica Life Insurance Company (52-0502540) 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ Not applicable 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OR ORGANIZATION Arizona ___________________________________________________________________________ NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 125,000 shares of common stock 6. SHARED VOTING POWER 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred stock (includes 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred stock Reporting Person may be deemed to share voting power solely by reason of affiliation with the other Reporting Persons herein described but for which Reporting Person disclaims beneficial ownership) 7. SOLE DISPOSITIVE POWER 125,000 shares of common stock 8. SHARES DISPOSITIVE POWER 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred stock (includes 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred stock Reporting Person may be deemed to share dispositive power solely by reason of affiliation with the other Reporting Persons herein described but for which Reporting Person disclaims beneficial ownership) ___________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 400,373 shares of common stock, consisting of 125,000 shares of common stock currently owned and 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred stock of the issuer (such shares include 275,373 shares Reporting Person may be deemed to beneficially own solely by reason of affiliation with the other Reporting Persons herein described but for which Reporting Person disclaims beneficial ownership) 10. CHECK BOX IF AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / Not applicable 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.15% (includes 6.29% of class for which Reporting Person may be deemed to benefically own solely by reason of affiliation with the other Reporting Persons herein described but for which Reporting Person disclaims beneficial ownership) 12. TYPE OF REPORTING PERSON* CO/IC *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 773259 10 6 G Page 5 of 10 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Anchor National Life Insurance Company (86-0198983) 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ Not applicable 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OR ORGANIZATION Arizona ___________________________________________________________________________ NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred Stock of the issuer. 6. SHARED VOTING POWER None, except to the extent Reporting Person is deemed to share voting power, solely by reason of affiliation with such person, on the shares described in Row 5 of the cover sheet of any other Reporting Person herein described 7. SOLE DISPOSITIVE POWER 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred Stock of the issuer. 8. SHARES DISPOSITIVE POWER None, except to the extent Reporting Person is deemed to share dispositive power, solely by reason of affiliation with such person, on the shares described in Row 7 of the cover sheet of any other Reporting Person herein described ___________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 275,373 shares of common stock issuable upon conversion of 70,000 shares of Series A Preferred stock of the issuer 10. CHECK BOX IF AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / Not applicable 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.29% 12. TYPE OF REPORTING PERSON* CO/IC *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 773259 10 6 G Page 6 of 10 Item 1(a). Name of Issuer: Rockford Industries, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 1851 East First Street, Suite 600 Santa Ana, California 92705 Item 2(a). Name of Person Filing: This statement is being filed by (1) Eli Broad, a natural person, (2) SunAmerica Inc., a Maryland corporation, (3) SunAmerica Life Insurance Company, an Arizona corporation and (4) Anchor National Life Insurance Company. Item 2(b). Address of Principal Business Office or, if None, Residence: For each of Eli Broad, SunAmerica Inc., SunAmerica Life Insurance Company and Anchor National Life Insurance Company: 1 SunAmerica Center Century City Los Angeles, California 90067-6022 Item 2(c). Citizenship: Eli Broad is a citizen of the United States, SunAmerica Inc. is a Maryland corporation, and SunAmerica Life Insurance Company and Anchor National Life Insurance Company are both Arizona corporations. Item 2(d). Title of Class of Securities: Common Stock, no par value Item 2(e). CUSIP Number: 773259 10 6 Item 3. If this statement is filed pursuant to Rules 13(d)-1(b), or 13d- 2(b), check whether the person filing is a: (a)___ 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, (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 13d-1(b)(1)(ii)(F), (g)___ Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G); see Item 7, (h)___ Group, in accordance with Rule 13d-1(b)(1)(ii)(H). Not applicable. This statement is being filed pursuant to Rule 13d-1(c). Item 4. Ownership.(2) (a) Amount beneficially owned: See responses to Item 9 on each of the cover pages to this statement on Schedule G. ___________________________________ (2) Each Reporting Person disclaims beneficial ownership of any securities not held directly by such person. The filing of this Schedule 13G shall not be construed as an admission that a Reporting Person or any of its affiliates is, for the purposes of Section 13 of the Act, a member of a "group" with any of the other Reporting Persons. In addition, the filing of this Schedule 13G shall not be construed as an admission that a Reporting Person or any of its affiliates is the beneficial owner of any securities not held directly by such person for any purpose. CUSIP No. 773259 10 6 G Page 7 of 10 (b) Percent of class: See responses to Item 11 on each of the cover pages to this statement on Schedule G. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: See responses to Item 5 on each of the cover pages to this statement on Schedule G. (ii) Shared power to vote or direct the vote: See responses to Item 6 on each of the cover pages to this statement on Schedule G. (iii) Sole power to dispose or to direct the disposition of: See responses to Item 7 on each of the cover pages to this statement on Schedule G. (iv) Shared power to dispose or to direct the disposition of: See responses to Item 8 on each of the cover pages to this statement on Schedule G. Item 5. Ownership of Five Percent of Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. Not applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Other than the Reporting Persons as described in Item 4 above, no person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares described in Item 4 above. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. See Exhibit A. Item 8. Identification and Classification of Members of the Group. Not applicable. Item 9. Notice of Dissolution of Group. Not applicable. Item 10. Certification. Not applicable. CUSIP No. 773259 10 6 G Page 8 of 10 SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. February 13, 1997 /S/ELI BROAD ________________________________ Eli Broad SUNAMERICA INC. /S/JAY S. WINTROB ________________________________ Jay S. Wintrob Vice Chairman SUNAMERICA LIFE INSURANCE COMPANY /S/JAY S. WINTROB ________________________________ Jay S. Wintrob Executive Vice President ANCHOR NATIONAL LIFE INSURANCE COMPANY /S/JAY S. WINTROB ________________________________ Jay S. Wintrob Executive Vice President CUSIP No. 773259 10 6 G Page 9 of 10 Exhibit A RELEVANT SUBSIDIARIES OF PARENT HOLDING COMPANY Parent Holding Company SunAmerica Inc. Eli Broad (an individual who may be deemed to control SunAmerica Inc.) Relevant Subsidiaries SunAmerica Life Insurance Company, an Arizona corporation and an insurance company as defined in Section 3(a)(19) of the Securities Exchange Act of 1934, as amended Anchor National Life Insurance Company, an Arizona corporation and an insurance company as defined in Section 3(a)(19) of the Securities Exchange Act of 1934, as amended CUSIP No. 773259 10 6 G Page 10 of 10 Exhibit B JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(f)(1) Pursuant to Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree and consent (i) to the joint filing on their behalf of this Schedule G in connection with their beneficial ownership of the ordinary common stock of Rockford Industries, Inc. at December 31, 1996 and (ii) to the joint filing on their behalf of any amendments thereto. February 13, 1997 /S/ELI BROAD ________________________________ Eli Broad SUNAMERICA INC. /S/JAY S. WINTROB ________________________________ Jay S. Wintrob Vice Chairman SUNAMERICA LIFE INSURANCE COMPANY /S/JAY S. WINTROB ________________________________ Jay S. Wintrob Executive Vice President ANCHOR NATIONAL LIFE INSURANCE COMPANY /S/JAY S. WINTROB ________________________________ Jay S. Wintrob Executive Vice President -----END PRIVACY-ENHANCED MESSAGE-----