-----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, CwraAYqGIsGFelDxhVb0aS3wBPXSe/Mb4aSRTCuyclrtRHVqqOPRSVItpHoaNgls 8s1R6dDbFVR809HvCPh6hg== 0000889812-97-001842.txt : 19970912 0000889812-97-001842.hdr.sgml : 19970912 ACCESSION NUMBER: 0000889812-97-001842 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970904 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 SEC ACT: SEC FILE NUMBER: 005-43369 FILM NUMBER: 97675079 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 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 1 GENERAL STATEMENT OF BENEFICIAL OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* 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) August 27, 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 459,900 BENEFICIALLY OWNED BY 8 SHARED VOTING POWER EACH REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH 459,900 10 SHARED DISPOSITIVE POWER 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 459,900 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.96% 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 Item 1. Security and Issuer Securities acquired: Common Stock ("Common Stock") Issuer: Rawlings Sporting Goods Company, Inc. ("Rawlings") Rawlings principal executive offices are located at 1859 Intertech Drive, Fenton, MO 63026. Item 2. Identity and Background (a), (b), (c) and (f) This Schedule 13D is being filed on behalf of Robert M. Raiff ("Raiff"). The business address of Mr. Raiff is 152 West 57th Street, New York, New York 10019. Mr. Raiff is President and CEO of the sole general partner of Centurion Investment Group, L.P., the sole general partner of various investment partnerships (the "Partnerships"). Each of the Partnership's principal business address is also 152 West 57th Street, New York, New York 10019. Mr. Raiff is also the President of the sole general partner of Centurion Advisors, L.P., which manages advisory accounts on a discretionary basis, and serves as Investment Manager of Centurion Overseas Fund, Ltd. (the "Fund"). Mr. raiff's principal occupation is an investor. (d) and (e) Mr. Raiff has not, during the last five years, been convicted in any criminal proceeding. Mr. Raiff has not, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction which resulted in a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violations with respect to such laws. Mr. Raiff is a citizen of the United States of America. See Item 5 for information regarding ownership of Common Stock. Item 3. Source and Amount of Funds As of September 3, 1997, Mr. Raiff beneficially owns 459,900 shares of Common Stock. All 459,900 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. In the last 60 days, 459,900 shares of Common Stock were purchased at an aggregate cost of $4,656,723.53 (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 4. Purpose of the Transaction The shares of Common Stock beneficially owned by Mr. Raiff were acquired for, and are being held for, investment purposes. Mr. Raiff does not have any plan or proposal which relates to, or would result in, any of the actions enumerated in Item 4 of the instructions to Schedule 13D. Mr. Raiff, however, may communicate ideas to management from time to time, which are intended to further Rawlings' business development and enhance shareholder value. Mr. Raiff reserves the right to purchase additional shares of Common Stock or dispose of shares of Common Stock in the open market or in any other lawful manner in the future. Item 5. Interest in Securities of the Issuer (a) and (b) As noted above, as of the date hereof, Mr. Raiff is the beneficial owner of 459,900 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. Therefore, Mr. Raiff beneficially owns 5.96% 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 during the past 60 days. (d) Not Applicable. (e) Not Applicable. Item 6. Contracts, Arrangements, Understanding or Relations with Respect to Securities of the Issuer Mr. Raiff does not have any contract, arrangement, understanding or relationship with any person with respect to the Common Stock. Item 7. Material to be Filed as Exhibits None. 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: September 3, 1997 SCHEDULE A Purchase [and Sale] of Shares of Common Stock Within the Last 60 Days
Purchase Number Price Date or Sale of Shares Per Share Value ------ ------- ---------- --------- ----- July 25, 1997 Purchase 7,500 $9.7500 73,125.00 July 28, 1997 Purchase 5,000 9.9375 49,687.50 July 29, 1997 Purchase 7,500 9.9375 74,531.25 July 30, 1997 Purchase 5,000 9.8875 49,437.50 July 31, 1997 Purchase 4,000 9.7500 39,000.00 August 1, 1997 Purchase 4,400 9.3352 41,075.00 August 4, 1997 Purchase 4,100 9.5000 38,950.00 August 5, 1997 Purchase 11,300 9.3451 105,600.02 August 6, 1997 Purchase 6,800 9.3750 63,750.00 August 19, 1997 Purchase 61,500 9.6596 594,064.80 August 20, 1997 Purchase 87,400 10.1111 883,713.97 August 21, 1997 Purchase 59,800 10.1642 607,818.90 August 22, 1997 Purchase 35,100 10.2595 360,106.92 August 25, 1997 Purchase 43,900 10.3695 455,219.25 August 26, 1997 Purchase 24,500 10.4196 255,280.95 August 27, 1997 Purchase 22,200 10.5532 234,281.36 August 28, 1997 Purchase 34,100 10.5889 361,081.49 August 29, 1997 Purchase 11,800 10.5614 124,624.52 September 2, 1997 Purchase 6,000 10.5521 63,312.60 September 3, 1997 Purchase 18,000 10.1146 182,062.80 ======= ============ 459,900 4,656,723.83
* Does not include commissions -----END PRIVACY-ENHANCED MESSAGE-----