-----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, GtPd548pQbUlrODVC8mGMnLY/nD+lWZwBBtiym3dsxbARQJ8MoKnOTlsfmDAslfj wjwlr2vU3WoCIBCkGl0Pzw== 0000897069-02-000072.txt : 20020414 0000897069-02-000072.hdr.sgml : 20020414 ACCESSION NUMBER: 0000897069-02-000072 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20020204 GROUP MEMBERS: JOHN L. KEELEY GROUP MEMBERS: JOHN L. KEELEY, JR. FOUNDATION GROUP MEMBERS: KAMCO LIMITED PARTNERSHIP NO. 1 GROUP MEMBERS: KAMCO PERFORMANCE LIMITED PARTNERSHIP GROUP MEMBERS: KEELEY INVESTMENT CORP. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN GROUP INC CENTRAL INDEX KEY: 0000906609 STANDARD INDUSTRIAL CLASSIFICATION: TRUCKING (NO LOCAL) [4213] IRS NUMBER: 222902315 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44588 FILM NUMBER: 02526112 BUSINESS ADDRESS: STREET 1: 2746 OLD U S 20 W STREET 2: PO BOX 1168 CITY: ELKHART STATE: IN ZIP: 46514 BUSINESS PHONE: 2192952200 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KEELEY ASSET MANAGEMENT CORP CENTRAL INDEX KEY: 0001056504 IRS NUMBER: 363160361 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 401 SOUTH LASALLE STREET STREET 2: STE 1201 CITY: CHICAGO STATE: IL ZIP: 60605 BUSINESS PHONE: 3127865000 MAIL ADDRESS: STREET 1: KELLEY ASSET MANAGEMENT CORP STREET 2: 401 S LASALLE ST STE 1201 CITY: CHICAGO STATE: IL ZIP: 60605 SC 13G/A 1 pdm215a.txt SCHEDULE 13G, AMENDMENT 2 ----------------------------------- OMB APPROVAL ----------------------------------- OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden Hours per response . . . . . .14.9 ----------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) THE MORGAN GROUP, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Class A Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 617358106 ----------------------------------------------- (CUSIP Number) December 31, 2001 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) * 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). (Continued on following page(s)) Page 1 of 11 Pages - ----------------------------- CUSIP No. 617358106 - ----------------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) John L. Keeley, Jr.; Social Security No.: ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a)[ ] (b)[ ] N/A - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 7,300 ------------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 7,300 ------------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,300 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] N/A - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.6%* - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IA ================================================================================ - -------------------- * Based on an aggregate of 1,248,157 shares outstanding as of October 31, 2001. Page 2 of 11 Pages - ----------------------------- CUSIP No. 617358106 - ----------------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Keeley Asset Management Corp.; Tax I.D. No.: 36-3160361 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a)[ ] (b)[ ] N/A - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 48,000 ------------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 48,000 ------------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 48,000 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] N/A - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.8%* - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IA ================================================================================ - -------------------- * Based on an aggregate of 1,248,157 shares outstanding as of October 31, 2001. Page 3 of 11 Pages - ----------------------------- CUSIP No. 617358106 - ----------------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Kamco Performance Limited Partnership; Tax I.D. No.: 36-3645043 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a)[ ] (b)[ ] N/A - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- ------------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ------------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] N/A - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0%* - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN ================================================================================ - -------------------- * Based on an aggregate of 1,248,157 shares outstanding as of October 31, 2001. Page 4 of 11 Pages - ----------------------------- CUSIP No. 617358106 - ----------------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Kamco Limited Partnership No. 1; Tax I.D. No.: 36-3528572 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a)[ ] (b)[ ] N/A - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- ------------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ------------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] N/A - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0%* - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN ================================================================================ - -------------------- * Based on an aggregate of 1,248,157 shares outstanding as of October 31, 2001. Page 5 of 11 Pages - ----------------------------- CUSIP No. 617358106 - ----------------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) John L. Keeley, Jr.Foundation; Tax I.D. No.: 36-3865180 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a)[ ] (b)[ ] N/A - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 2,200 ------------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 2,200 ------------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,200 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] N/A - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.2%* - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN ================================================================================ - -------------------- * Based on an aggregate of 1,248,157 shares outstanding as of October 31, 2001. Page 6 of 11 Pages - ----------------------------- CUSIP No. 617358106 - ----------------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Keeley Investment Corp.; Tax I.D. No.: 35-2891284 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a)[ ] (b)[ ] N/A - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- ------------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ------------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] N/A - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0%* - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN ================================================================================ - -------------------- * Based on an aggregate of 1,248,157 shares outstanding as of October 31, 2001. Page 7 of 11 Pages - ----------------------------- CUSIP No. 617358106 - ----------------------------- This Amendment No. 2 to the undersigned's Schedule 13G, which was filed on February 11, 2000 (the "Schedule 13G") as an amendment to the Schedule 13D which was originally filed on October 25, 1993, with regard to The Morgan Group, Inc. (the "Issuer") is being filed to amend Items 4 and 5 of the Schedule 13G. Except as expressly stated herein, there have been no material changes in the information set forth in the Schedule 13G. Item 4. Ownership John L. Keeley, Jr. (a) Amount Beneficially Owned: 7,300 (b) Percent of Class: 0.6% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 7,300 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: 7,300 (iv) shared power to dispose or to direct the disposition of: -0- Keeley Asset Management Corp. ----------------------------- (a) Amount Beneficially Owned: 48,000 (b) Percent of Class: 3.8% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 48,000 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: 48,000 (iv) shared power to dispose or to direct the disposition of: -0- Kamco Performance Limited Partnership ------------------------------------- (a) Amount Beneficially Owned: -0- (b) Percent of Class: 0% (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: -0- (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: -0- Page 8 of 11 Pages - ----------------------------- CUSIP No. 617358106 - ----------------------------- Kamco Limited Partnership No. 1 ------------------------------- (a) Amount Beneficially Owned: -0- (b) Percent of Class: 0% (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: -0- (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: -0- John L. Keeley, Jr. Foundation ------------------------------ (a) Amount Beneficially Owned: 2,200 (b) Percent of Class: 0.2% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 2,200 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: 2,200 (iv) shared power to dispose or to direct the disposition of: -0- Keeley Investment Corp. ----------------------- (a) Amount Beneficially Owned: -0- (b) Percent of Class: 0% (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: -0- (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: -0- 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|. Page 9 of 11 Pages - ----------------------------- CUSIP No. 617358106 - ----------------------------- 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. Dated this 29th day of January, 2002. /s/ John L. Keeley, Jr. - -------------------------------------------------------------- John L. Keeley, Jr. KEELEY ASSET MANAGEMENT CORP. /s/ John L. Keeley, Jr. - -------------------------------------------------------------- John L. Keeley, Jr., President KAMCO PERFORMANCE LIMITED PARTNERSHIP /s/ John L. Keeley, Jr. - -------------------------------------------------------------- John L. Keeley, Jr., General Partner KAMCO LIMITED PARTNERSHIP NO. 1 /s/ John L. Keeley, Jr. - -------------------------------------------------------------- John L. Keeley, Jr., General Partner JOHN L. KEELEY, JR. FOUNDATION /s/ John L. Keeley, Jr. - -------------------------------------------------------------- John L. Keeley, Jr., President and Treasurer KEELEY INVESTMENT CORP. /s/ John L. Keeley, Jr. - -------------------------------------------------------------- John L. Keeley, Jr., President Page 10 of 11 Pages EX-99.1 3 pdm215b.txt JOINT FILING AGREEMNT - ----------------------------- CUSIP No. 617358106 - ----------------------------- EXHIBIT 1 TO SCHEDULE 13G ------------------------- John L. Keeley, Jr., Keeley Asset Management Corp., Kamco Performance Limited Partnership, Kamco Limited Partnership No. 1, John L. Keeley, Jr. Foundation and Keeley Investment Corp. agree that, unless differentiated, this Schedule 13G is filed on behalf of each of the parties. Dated this 29th day of January, 2002. /s/ John L. Keeley, Jr. - ------------------------------------------------- John L. Keeley, Jr. KEELEY ASSET MANAGEMENT CORP. /s/ John L. Keeley, Jr. - ------------------------------------------------- John L. Keeley, Jr., President KAMCO PERFORMANCE LIMITED PARTNERSHIP /s/ John L. Keeley, Jr. - ------------------------------------------------- John L. Keeley, Jr., General Partner KAMCO LIMITED PARTNERSHIP NO. 1 /s/ John L. Keeley, Jr. - ------------------------------------------------- John L. Keeley, Jr., General Partner JOHN L. KEELEY, JR. FOUNDATION /s/ John L. Keeley, Jr. - ------------------------------------------------- John L. Keeley, Jr., President and Treasurer KEELEY INVESTMENT CORP. /s/ John L. Keeley, Jr. - ------------------------------------------------- John L. Keeley, Jr., President Page 11 of 11 Pages -----END PRIVACY-ENHANCED MESSAGE-----