-----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, E0wnp6W4B3zuI0RRsnRtaUW2I9sFtQGXcC2eXsPapojs43+3JaZsJUxdN0WLWYSz oVIjiYgtbw2qbEmjD+6LQA== 0000950172-98-000163.txt : 19980219 0000950172-98-000163.hdr.sgml : 19980219 ACCESSION NUMBER: 0000950172-98-000163 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980218 SROS: NONE GROUP MEMBERS: D. THEODORE BERGHORST GROUP MEMBERS: VECTOR SECURITIES INTERNATIONAL INC /ADV SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROCHESTER MEDICAL CORPORATION CENTRAL INDEX KEY: 0000868368 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 411613227 STATE OF INCORPORATION: MN FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-41264 FILM NUMBER: 98544397 BUSINESS ADDRESS: STREET 1: ONE ROCHESTER MEDICAL DR CITY: STEWARTVILLE STATE: MN ZIP: 55976 BUSINESS PHONE: 5075339600 MAIL ADDRESS: STREET 1: ONE ROCHESTER MEDICAL DR CITY: STEWARTVILLE STATE: MN ZIP: 55976 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: VECTOR SECURITIES INTERNATIONAL INC /ADV CENTRAL INDEX KEY: 0000830575 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 363565040 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1751 LAKE COOK RD STE 350 CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 7089401970 MAIL ADDRESS: STREET 1: 1751 LAKE COOK RD 3RD FL CITY: DEERFIELD STATE: IL ZIP: 60015 FORMER COMPANY: FORMER CONFORMED NAME: VECTOR SECURITIES INTERNATIONAL INC /ADV DATE OF NAME CHANGE: 19980217 SC 13G/A 1 SCHEDULE 13G - AMENDMENT NO. 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (AMENDMENT NO. 1) INFORMATION STATEMENT PURSUANT TO RULES 13D-1 AND 13D-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (the "Act") Rochester Medical Corporation ----------------------------------------------- (Name of Issuer) Common Stock, no par value per share ----------------------------------------------- (Title of Class and Securities) 771497-10-4 ----------------------------------------------- (CUSIP Number) Schedule 13G CUSIP # 771497-10-4 ---------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Vector Securities International, Inc. 36-3565040 ---------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) ( ) (b) ( ) ---------------------------------------------------------------------- (3) SEC USE ONLY ---------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ---------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 0 SHARES -------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 164,159 EACH -------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON 0 WITH -------------------------------------- (8) SHARED DISPOSITIVE POWER 164,159 ---------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 164,159 ---------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ( ) ---------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.1% (See response to Item 4). ---------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* BD ---------------------------------------------------------------------- ---------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) D. Theodore Berghorst ---------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) ( ) (b) ( ) ---------------------------------------------------------------------- (3) SEC USE ONLY ---------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States Citizen ---------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 20,000 SHARES ---------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 164,159 EACH ---------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON 20,000 WITH ---------------------------------------- (8) SHARED DISPOSITIVE POWER 164,159 ---------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 184,159 ---------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ( ) ---------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.5% (See response to Item 4). ---------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN ---------------------------------------------------------------------- Item 1(a). Name of Issuer: Rochester Medical Corporation Item 1(b). Address of Issuer's Principal Executive Offices: One Rochester Medical Drive Stewartville, Minnesota 55976 Item 2(a). Name of Persons Filing: Item 2(b). Address of Principal Business Office or, if None, Residence: Item 2(c). Citizenship: This Statement is filed by the following persons (collectively, the "Reporting Persons"): Vector Securities International, Inc. 1751 Lake Cook Road Deerfield, IL 60015 (Delaware Corporation) D. Theodore Berghorst Chairman and Chief Executive Officer Vector Securities International, Inc. 1751 Lake Cook Road Deerfield, IL 60015 (United States Citizen) Item 2(d). Title of Class of Securities: Common Stock, no par value per share ("Common Stock") Item 2(e). CUSIP Number: 771497-10-4 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) [X] Broker or dealer registered under Section 15 of the Act, Vector Securities International, 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) [ ] 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 Rule 13d-1(b)(1)(ii)(F), (g) [x] Parent Holding Company, in accordance with Rule 13d-1(b)(1)(ii)(G); see Item 7, Mr. Berghorst, Chairman and Chief Executive Officer of Vector Securities International, Inc. (individual who may be deemed to control Vector Securities International, Inc.) (h) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H). Item 4. Ownership. As of February 13, 1998, the Reporting Persons beneficially owned in the aggregate less than five percent of the outstanding Common Stock as follows: Vector Securities International, Inc. (a) Amount beneficially owned: 164,159 (b) Percent of class: 3.1%* ---------------- * Percentages based on 5,261,500 shares of the Issuer's Common Stock outstanding as of December 23, 1997, according to the Issuer's report on Form 10-K for the fiscal year ended September 30, 1997. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 164,159 (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 164,159 D. Theodore Berghorst (a) Amount beneficially owned: 184,159 (b) Percent of class: 3.5% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 20,000 (ii) Shared power to vote or to direct the vote: 164,159 (iii) Sole power to dispose or to direct the disposition of: 20,000 (iv) Shared power to dispose or to direct the disposition of: 164,159 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 persons have ceased to be the beneficial owners of more than five percent of the class of securities check the following [X]. 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. See Item 3a. No common stock is held directly by D. Theodore Berghorst, an individual who may be deemed to control Vector Securities International, Inc. Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A Item 10. Certification. "By signing below the undersigned certifies that, to the best of his or its knowledge and belief, the securities referred to above were acquired in the ordinary course of its over-the-counter market-making business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect." SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: February 13, 1998 VECTOR SECURITIES INTERNATIONAL, INC. By: /s/ D. Theodore Berghorst --------------------------------- Name: D. Theodore Berghorst Title: Chief Executive Officer D. THEODORE BERGHORST /s/ D. Theodore Berghorst ------------------------------------ EXHIBIT A The undersigned persons hereby agree and consent to the joint filing on their behalf of this Schedule 13G in connection with their beneficial ownership of the common stock of Rochester Medical Corporation on February 13, 1998. VECTOR SECURITIES INTERNATIONAL, INC. By: /s/ D. Theodore Berghorst --------------------------------- Name: D. Theodore Berghorst Title: Chief Executive Officer D. THEODORE BERGHORST /s/ D. Theodore Berghorst ------------------------------------ -----END PRIVACY-ENHANCED MESSAGE-----