-----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, I69kHlgdNz10Bx9xRy0Go8U/1VXmzO+VFBZs6eTBsWXS/pl0aRc3lNGf2huS4NqO FvccBk8o2COzkusGydC14A== 0000935836-98-000220.txt : 19981207 0000935836-98-000220.hdr.sgml : 19981207 ACCESSION NUMBER: 0000935836-98-000220 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981101 FILED AS OF DATE: 19981204 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN LOCKER GROUP INC CENTRAL INDEX KEY: 0000008855 STANDARD INDUSTRIAL CLASSIFICATION: PARTITIONS, SHELVING, LOCKERS & OFFICE AND STORE FIXTURES [2540] IRS NUMBER: 160338330 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-00439 FILM NUMBER: 98764057 BUSINESS ADDRESS: STREET 1: 608 ALLEN STREET CITY: JAMESTOWN STATE: NY ZIP: 14701 BUSINESS PHONE: 7166649600 MAIL ADDRESS: STREET 1: 608 ALLEN STREET CITY: JAMESTOWN STATE: NY ZIP: 14701 FORMER COMPANY: FORMER CONFORMED NAME: AVM CORP DATE OF NAME CHANGE: 19850520 COMPANY DATA: COMPANY CONFORMED NAME: AVOCET CAPITAL MANAGEMENT LP /ADV CENTRAL INDEX KEY: 0001021239 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 742791915 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 111 CONGRESS AVE STREET 2: STE 1600 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 5124357222 MAIL ADDRESS: STREET 1: 111 CONGRESS AVE STREET 2: SUITE 1600 CITY: AUSTIN STATE: TX ZIP: 78701 FORMER COMPANY: FORMER CONFORMED NAME: AVOCET CAPITAL MANAGEMENT LP /ADV DATE OF NAME CHANGE: 19980202 4 1 OMB Number 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response 0.5 FORM 4 / / Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person Avocet Investment Partners, L.P. 111 Congress Ave., Suite 1600, Austin, TX 78701 ____________________________________________________________________ (Last) (First) (Middle), (Street), (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol American Locker Group Incorporated (ALGI) 3. IRS or Social Security Number of Reporting Person (Voluntary) _______ 4. Statement for Month/Year 11-98 5. If Amendment, Date of Original (Month/Year) 6. Relationship of reporting person to issuer (Check all applicable) ____ Director XXXX 10% Owner ____ Officer (give ____ Other (specify title below) below) ______________________ 7. Individual or Joint/Group Filing (Check Applicable line) XXXX Form filed by one Reporting Person ____ Form filed by More than One Reporting Person SEC 1474 (7-96) FORM 4 (continued) Page 2 of 13 pages Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security (Instr. 3) Common Stock 2. Transaction Date (Month/Day/Year) ` 11/11/98 3. Transaction Code (Instr. 8) Code V P _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount (A) or (D) Price 1,000 A $24.0245 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) _____________________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) D 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________________________________________________________________ _________________________________________________________________________ FORM 4 (continued) Page 3 of 13 Pages 1. Title of Security (Instr. 3) Common Stock 2. Transaction Date (Month/Day/Year) 11/12/98 3. Transaction Code (Instr. 8) Code V P ___________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount (A) or (D) Price 1,000 A $24.6515 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) _____________________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) D 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________________________________________________________________ _________________________________________________________________________ FORM 4 (continued) Page 4 of 13 pages 1. Title of Security (Instr. 3) Common Stock 2. Transaction Date (Month/Day/Year) 11/13/98 3. Transaction Code (Instr. 8) Code V P ____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount (A) or (D) Price 3,100 A $24.2021 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) _____________________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) D 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________________________________________________________________ _________________________________________________________________________ FORM 4 (continued) Page 5 of 13 Pages 1. Title of Security (Instr. 3) Common Stock 2. Transaction Date (Month/Day/Year) 11/16/98 3. Transaction Code (Instr. 8) Code V P _______________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount (A) or (D) Price 1,500 A $24.5000 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) D 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________________________________________________________________ FORM 4 (continued) Page 6 of 13 Pages 1. Title of Security (Instr. 3) Common Stock 2. Transaction Date (Month/Day/Year) 11/17/98 3. Transaction Code (Instr. 8) Code V P _______________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount (A) or (D) Price 2,000 A $24.9570 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) D 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________________________________________________________________ FORM 4 (continued) Page 7 of 13 Pages 1. Title of Security (Instr. 3) Common Stock 2. Transaction Date (Month/Day/Year) 11/18/98 3. Transaction Code (Instr. 8) Code V P _______________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount (A) or (D) Price 2,600 A $25.8331 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) D 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________________________________________________________________ FORM 4 (continued) Page 8 of 13 Pages 1. Title of Security (Instr. 3) Common Stock 2. Transaction Date (Month/Day/Year) 11/19/98 3. Transaction Code (Instr. 8) Code V P _______________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount (A) or (D) Price 900 A $26.7652 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) D 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________________________________________________________________ FORM 4 (continued) Page 9 of 13 Pages 1. Title of Security (Instr. 3) Common Stock 2. Transaction Date (Month/Day/Year) 11/25/98 3. Transaction Code (Instr. 8) Code V P _______________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount (A) or (D) Price 2,000 A $28.3741 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) D 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________________________________________________________________ FORM 4 (continued) Page 10 of 13 Pages 1. Title of Security (Instr. 3) Common Stock 2. Transaction Date (Month/Day/Year) 11/27/98 3. Transaction Code (Instr. 8) Code V P _______________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount (A) or (D) Price 1,000 A $28.8480 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) D 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________________________________________________________________ FORM 4 (continued) Page 11 of 13 Pages 1. Title of Security (Instr. 3) Common Stock 2. Transaction Date (Month/Day/Year) 11/30/98 3. Transaction Code (Instr. 8) Code V P _______________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount (A) or (D) Price 3,100 A $28.2763 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 273,900 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) D 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________________________________________________________________ FORM 4 (continued) Page 12 of 13 pages Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). SEC 1474 (7-96) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) ______________________________ 2. Conversion or Exercise Price of Derivative Security _________________ 3. Transaction Date (Month/Day/Year) ______________ 4. Transaction Code (Instr. 8) Code ______ V ______ 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) (A) _____________ (D) ______________ 6. Date Exercisable and Expiration Date (Month/Day/Year) Date Exercisable Expiration Date ____________________ ________________________ 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) Title _______________________ Amount or Number of Shares ________ 8. Price of Derivative Security (Instr. 5) _______________ 9. Number of derivative Securities Beneficially Owned at End of Month (Instr. 4) _______________ 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) __________________ 11. Nature of Indirect Beneficial Ownership (Inst. 4) ____________________________________________________________________ _________________________________________________________________________ FORM 4 (continued) Page 13 of 13 pages Explanation of Responses: AVOCET INVESTMENT PARTNERS, L.P. 12-3-98 Date By: Avocet Capital Management, L.P. \ General Partner By: GWL Partners, L.P., General Partner By: GWL Management, L.L.C. General Partner By: /s/ G. Walter Loewenbaum G. Walter Loewenbaum, Manager **Signature of Reporting Person ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. 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