-----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, CED/r7aue4dThjEegfWU/9qZ2LbnQT2VWeQkABJhrxzpfCvM6fs5rC0C7Zuvvlmk MU3HuFoeGveNLg1eYQvB1Q== 0000950131-96-000317.txt : 19960208 0000950131-96-000317.hdr.sgml : 19960208 ACCESSION NUMBER: 0000950131-96-000317 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960207 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPECIALTY EQUIPMENT COMPANIES INC CENTRAL INDEX KEY: 0000814013 STANDARD INDUSTRIAL CLASSIFICATION: AIR COND & WARM AIR HEATING EQUIP & COMM & INDL REFRIG EQUIP [3585] IRS NUMBER: 363337593 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43385 FILM NUMBER: 96512419 BUSINESS ADDRESS: STREET 1: 1245 CORPORATE BLVD STREET 2: SUITE 401 CITY: AURORA STATE: IL ZIP: 60504 BUSINESS PHONE: 708-585-5111 MAIL ADDRESS: STREET 1: 1245 CORPORATE BLVD STREET 2: SUITE 401 CITY: AURORA STATE: IL ZIP: 60504 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ARIEL CAPITAL MANAGEMENT INC ET AL CENTRAL INDEX KEY: 0000766883 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 307 N MICHIGAN AVE STREET 2: SUITE 500 CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: 3127260140 MAIL ADDRESS: STREET 1: 307 N MICHIGAN AVENUE STREET 2: SUITE 500 CITY: CHICAGO STATE: IL ZIP: 60601 SC 13G/A 1 SPECIALTY EQUIPMENT COMPANIES INC -- AMD #3 ------------------------------- / OMB APPROVAL / ------------------------------- / OMB Number: 3235-0145 / / Expires: August 31, 1991 / / Estimated average burden / / hours per response ... 14.90/ ------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Specialty Equipment Companies, Inc. ------------------------------------ (Name of Issuer) Common Stock ------------------------------------ (Title of Class of Securities) 847497203 ----------- (CUSIP Number) Check the following box if a fee is being paid with this statement. [_] (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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). SEC 1745 (10-88) - ----------------------- --------------------- CUSIP NO. 847497203 PAGE 2 OF 5 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ARIEL CAPITAL MANAGEMENT, INC. John W. Rogers, Jr. IRS ID# 36-3219058 SSN# ###-##-#### - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] Not Applicable (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Illinois Corporation - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF Ariel - 2,386,920 Rogers - 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 Ariel - 0 Rogers - 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING Ariel - 2,472,070 Rogers - 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 Ariel - 0 Rogers - 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 Ariel - 2,472,070 Rogers - 0 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 Not Applicable - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Ariel - 2,472,070/17,109,505=14.45% Rogers - 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 Ariel - IA Rogers - HC - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! * This report is being made on behalf of John W. Rogers, Jr., President and principal shareholder of Ariel Capital Management, Inc., who may be deemed to have beneficial ownership of the securities of the issuer. Mr. Rogers disclaims beneficial ownership of shares held by Ariel Capital Management, Inc. Date: 12/31/95 --------------------- Page 3 of 5 Item 1(a) Name of Issuer: Specialty Equipment Companies, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 1245 Corporate Blvd., Suite 401 Aurora, IL 60504 Item 2(a) Name of Person Filing: Ariel Capital Management, Inc. Item 2(b) Address of Principal Business Office: 307 North Michigan Avenue, Chicago, IL 60601 Item 2(c) Citizenship: an Illinois corporation Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 847497203 Item 3. This statement is filed pursuant to Rule 13d-1(b) or 13d-2(b) and the person filing is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. Item 4. Ownership. (a) Amount Beneficially Owned: (See Page 2, No. 9) Date: 12/31/95 --------------------- Page 4 of 5 (b) Percent of Class: (See Page 2, No. 11) (c) Number of shares as to which each person has: (i) sole power to vote or to direct the vote (See Page 2, No. 5) (ii) shared power to vote or to direct the vote (See Page 2, No. 6) (iii) sole power to dispose or to direct the disposition of (See Page 2, No. 7) (iv) shared power to dispose or to direct the disposition of (See Page 2, No. 8) Item 5. Ownership of Five Percent or 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: [_] Item 6. Ownership of More than Five Percent on Behalf of Another Person. All securities reported upon this Schedule are owned by investment advisory clients of Ariel Capital Management, Inc., no one of which to the knowledge of Ariel Capital Management, Inc. owns more than 5% of the class. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not Applicable. Item 8. Identification and Classification of Members of the Group. Not Applicable. Date: 12/31/95 --------------------- Page 5 of 5 SIGNATURE The undersigned hereby agree that this statement is being filed on behalf of each of them and hereby certify, after reasonable inquiry and to the best of their knowledge and belief, that the information set forth in this statement is true, complete and correct. ARIEL CAPITAL MANAGEMENT, INC. By: _______________________________ Eric T. McKissack Co-Chief Investment Officer and Senior Vice President JOHN W. ROGERS, JR. * _____________________ JOHN W. ROGERS, JR. *By: ______________________________ Eric T. McKissack DATED: February 08, 1996 * Eric T. McKissack signs this document on behalf of John W. Rogers, Jr. pursuant to the power of attorney attached as Exhibit 1 to the Schedule 13G filed with the Securities and Exchange Commission on or about January 10, 1994, on behalf of Ariel Capital Management, Inc. and John W. Rogers, Jr. with respect to Oshkosh B'Gosh, Incorporated, which said power of attorney is hereby incorporated by reference. -----END PRIVACY-ENHANCED MESSAGE-----