-----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, LLIx1cZZ+NimR1z1jYtwc6gJfR0oQ7CheouNLOp/D96CH3WK90qJyORPaN+UpU6+ rPQWYcBzZ3OkNyIZ+2qA3Q== 0000950135-03-001899.txt : 20030324 0000950135-03-001899.hdr.sgml : 20030324 20030324125922 ACCESSION NUMBER: 0000950135-03-001899 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030324 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST YEARS INC CENTRAL INDEX KEY: 0000055698 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PLASTIC PRODUCTS [3080] IRS NUMBER: 042149581 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-13261 FILM NUMBER: 03613478 BUSINESS ADDRESS: STREET 1: ONE KIDDIE DR CITY: AVON STATE: MA ZIP: 02322-1171 BUSINESS PHONE: 5085881220 MAIL ADDRESS: STREET 1: ONE KIDDIE DR CITY: AVON STATE: MA ZIP: 02322-1171 FORMER COMPANY: FORMER CONFORMED NAME: KIDDIE PRODUCTS INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PELTZ BENJAMIN CENTRAL INDEX KEY: 0000900397 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O FIRST YEARS INC STREET 2: ONE DIDDIE DRIVE CITY: AVON STATE: MA ZIP: 02322 BUSINESS PHONE: 508-588-1220 MAIL ADDRESS: STREET 1: C/O FIRST YEARS INC STREET 2: ONE KIDDIE DRIVE CITY: AVON STATE: MA ZIP: 02322 SC 13D/A 1 b45990fysc13dza.txt SC 13D/A FOR BENJAMIN PELTZ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* THE FIRST YEARS INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $.10 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 337610 109 --------------------- (CUSIP Number) Benjamin Peltz, c/o The First Years Inc., One Kiddie Drive, Avon, MA 02322 (508) 588-1220 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 3, 2002 ------------------------------------------------------------- (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 Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-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 Section 240.13d-7 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). Page 1 of 5 pages SCHEDULE 13D CUSIP NO. 337610 109 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Benjamin Peltz - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) OO - -------------------------------------------------------------------------------- 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 SHARES 260,802 (includes 43,000 shares held subject to stock options). --------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY --------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 260,802 (includes 43,000 shares held subject to stock options). --------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 260,802 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X] Excludes 130,000 shares owned by Mr. Peltz's wife, as to which Mr. Peltz disclaims beneficial ownership. - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.16% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - -------------------------------------------------------------------------------- Page 2 of 5 pages Item 1. Security and Issuer Common Stock, $.10 par value. THE FIRST YEARS INC. One Kiddie Drive Avon, MA 02322 Item 2. Identity and Background (a) Benjamin Peltz (b) c/o The First Years Inc., One Kiddie Drive, Avon, MA 02322 (c) Director of The First Years Inc. (d) Not applicable. (e) Not applicable. (f) United States of America Item 3. Source and Amount of Funds or Other Consideration Not applicable. Item 4. Purpose of Transaction On December 3, 2002, two trusts of which Mr. Peltz was trustee were liquidated, and all of the 390,000 shares of common stock, $.10 par value per share, of The First Years Inc. held by the trusts were distributed to the beneficiaries of the trusts. One of the beneficiaries of the trusts was Mr. Peltz's spouse, Judith I. Peltz, who received 130,000 shares as a pro rata distribution from the trusts. Mr. Peltz disclaims beneficial ownership of all shares held by his spouse. Item 5. Interest in Securities of the Issuer (a) 260,802 shares, or 3.16% of the issued and outstanding shares of Common Stock, including 43,000 shares which Mr. Peltz has the right to acquire within 60 days through the exercise of stock options. (b) Sole voting power: 260,802 shares (includes 43,000 shares which Mr. Peltz has the right to acquire within 60 days through the exercise of stock options). Shared voting power: 0 Page 3 of 5 pages Sole dispositive power: 260,802 shares (includes 43,000 shares which Mr. Peltz has the right to acquire within 60 days through the exercise of stock options). Shared dispositive power: 0 (c) On December 3, 2002, two trusts of which Mr. Peltz was trustee were liquidated, and all of the 390,000 shares held by the trusts were distributed to the beneficiaries of the trusts. (d) One of the beneficiaries of the trusts described in (c) above was Mr. Peltz's spouse, Judith I. Peltz, who received 130,000 shares as a pro rata distribution from the trusts. Mr. Peltz disclaims beneficial ownership of all shares held by his spouse. (e) As a result of the distributions from the trusts, Mr. Peltz ceased to be the beneficial owner of more than five percent of the class of securities on December 3, 2002. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Not applicable. Item 7. Material to be Filed as Exhibits Not applicable. Page 4 of 5 pages 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. March 20, 2003 ------------------------ (Date) /s/ BENJAMIN PELTZ ------------------------ Signature Mr. Benjamin Peltz ------------------------ (Name/Title) Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----