-----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, OHxB2Q1/zJUKehUokNWMI9s8U8K2QSEI98KwB0LLVxHygtsQ8AjWQS6tP8PXNexL hSHH33e9siW2lrFT0ZyeHQ== 0000889812-97-002538.txt : 19971127 0000889812-97-002538.hdr.sgml : 19971127 ACCESSION NUMBER: 0000889812-97-002538 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971126 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RAWLINGS SPORTING GOODS CO INC CENTRAL INDEX KEY: 0000921915 STANDARD INDUSTRIAL CLASSIFICATION: [3949] IRS NUMBER: 431674348 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-43369 FILM NUMBER: 97729480 BUSINESS ADDRESS: STREET 1: 1859 INTERTECH DR CITY: FENTON STATE: MO ZIP: 63026 BUSINESS PHONE: 3143493500 MAIL ADDRESS: STREET 1: 1859 INTERTECH DR CITY: FENTON STATE: MO ZIP: 63026 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RAIFF ROBERT M CENTRAL INDEX KEY: 0000944710 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 375 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10152 MAIL ADDRESS: STREET 1: 375 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10152 SC 13D/A 1 AMENDMENT NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Rawlings Sporting Goods Company, Inc. ------------------------------------- (Name of Issuer) Common Stock ------------------------------ (Title of Class of Securities) 754 459 105 -------------- (CUSIP Number) Mr. Robert M. Raiff With a copy to: 152 West 57th Street Lawrence G. Goodman, Esq. New York, New York 10019 Shereff, Friedman, Hoffman & Goodman, LLP (212) 247-4000 919 Third Avenue New York, New York 10022 (212) 758-9500 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 24, 1997 --------------------------------------- (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 which is the subject of this Schedule 13D, and is filing this statement because of Rule 13d-1(b) (3) or (4), check the following: [ ]. Note: One copy and an EDGAR version of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) 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). SCHEDULE 13D CUSIP No. 754 459 105 Page 2 of 6 Pages ------------ ----- ----- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Robert M. Raiff 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[X] 3 SEC USE ONLY 4 SOURCE OF FUNDS* AF 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. NUMBER OF 7 SOLE VOTING POWER SHARES 691,000 BENEFICIALLY OWNED BY 8 SHARED VOTING POWER EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON 691,000 WITH 10 SHARED DISPOSITIVE POWER 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 691,000 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.95% 14 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. SCHEDULE 13D This Amendment No. 2 to the Statement on Schedule 13D amends and supplements the Statement on Schedule 13D relating to the event date of August 27, 1997 (the "Schedule 13D") and Amendment No. 1 to the Schedule 13D relating to the event date of October 7, 1997 filed by Robert M. Raiff relating to the common stock (the "Common Stock") of Rawlings Sporting Goods Company, Inc. ("Rawlings"). The address of Rawlings is 1859 Intertech Drive, Fenton, MO 53026. Capitalized terms used herein and not defined herein shall have the meanings assigned thereto in the Schedule 13D. Item 3. Source and Amount of Funds Item 3 is amended to add the following: As of November 25, 1997, Mr. Raiff beneficially owns 691,000 shares of Common Stock. All 691,000 shares of Common Stock are held by entities and managed accounts over which Mr. Raiff has investment discretion. All shares of Common Stock owned by Mr. Raiff were purchased in open market transactions. Since the filing of Amendment No. 1 to the Schedule 13D, 96,000 shares of Common Stock were purchased at an aggregate cost of $1,064,000 (see Schedule A). The funds for the purchases of the shares of Common Stock held by the Partnerships and the Fund came from capital contributions to the Partnerships by their general and limited partners and capital contributions to the Fund by its shareholders. The funds for the purchases of shares held in the managed accounts over which Mr. Raiff has investment discretion came from the accounts' own funds. Margin was used in purchasing shares of Common Stock. Item 5. Interest in Securities of the Issuer Item 5 is amended and restated in its entirety to read as follows: (a) and (b) As noted above, as of the date hereof, Mr. Raiff is the beneficial owner of 691,000 shares of Common Stock. Based on Rawlings' Quarterly Report on Form 10-Q for the period ended May 31, 1997, there were 7,718,826 shares of Common Stock outstanding as of June 6, 1997. Therefore, Mr. Raiff beneficially owns 8.95% of the outstanding Common Stock. Mr. Raiff has the power to vote, direct the vote, dispose of or direct the disposition of all the shares of Common Stock that are currently beneficially owned by Mr Raiff. (c) Attached as Schedule A is a description of the transactions in the Common Stock that were effected by Mr. Raiff since the filing of Amendment No. 1 to the Schedule 13D. (d) Not Applicable. (e) Not Applicable. 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. By: /s/ Robert M. Raiff ----------------------- Robert M. Raiff Dated: November 25, 1997 SCHEDULE A Purchase of Shares of Common Stock Since the Filing of the Schedule 13D Purchase Number Price Date or Sale of Shares Per Share* Value ------ ------- --------- --------- ----- 10/9/97 P 5,000 $ 11.00 $ 55,000 10/31/97 P 6,000 10.25 61,500 11/10/97 P 2,000 10.25 20,500 11/12/97 P 3,000 10.00 30,000 11/24/97 P 75,000 11.225 841,875 11/25/97 P 5,000 11.025 55,125 * Does not include commissions -----END PRIVACY-ENHANCED MESSAGE-----