-----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, VmTiZ4nRxUtgMhqgdPC8J+Gvg4ix3MwGXdCjInZzb4F6MxNCTqJiC4MhfO43RDG1 PYX02c7NcThv/Jms9Fh97w== 0000909012-99-000621.txt : 19991118 0000909012-99-000621.hdr.sgml : 19991118 ACCESSION NUMBER: 0000909012-99-000621 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991117 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: 99759716 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: SHAPIRO CAPITAL MANAGEMENT CO INC /ADV CENTRAL INDEX KEY: 0000847006 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 581830170 STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 3060 PEACHTREE RD NW STREET 2: STE 1555 CITY: ATLANTA STATE: GA ZIP: 30305 BUSINESS PHONE: 4048429600 SC 13D/A 1 AMENDMENT TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 -------------------- SCHEDULE 13D/A (RULE 13D-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13D-1(A) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D2(A) (AMENDMENT NO. 4) RAWLINGS SPORTING GOODS COMPANY, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 754459105 - -------------------------------------------------------------------------------- (CUSIP Number) Shapiro Capital Management Company, Inc. Samuel R. Shapiro, President 3060 Peachtree Road, N.W., Suite 1555, Atlanta, Georgia 30305 PHONE: (404) 842-9600 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) NOVEMBER 8, 1999 - -------------------------------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box | | NOTE. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. SEE Rule 13d-7(b) for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 6 Pages) - -------- (1) 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 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). CUSIP No. 754459105 13D Page 2 of 6 Pages --------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SHAPIRO CAPITAL MANAGEMENT COMPANY, INC. -- ID NO. 58-1831070 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3. SEC USE ONLY 4. SOURCE OF FUNDS* OO 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION SHAPIRO CAPITAL MANAGEMENT COMPANY, INC. IS A GEORGIA CORPORATION NUMBER OF 7. SOLE VOTING POWER 0 SHARES BENEFICIALLY 8. SHARED VOTING POWER 554,650 OWNED BY EACH REPORTING PERSON WITH 9. SOLE DISPOSITIVE POWER 0 10. SHARED DISPOSITIVE POWER 554,650 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 554,650 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) |_| EXCLUDES CERTAIN SHARES* 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.02% 14. TYPE OF REPORTING PERSON* IA CUSIP No. 754459105 13D Page 3 of 6 Pages --------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SAMUEL R. SHAPIRO -- S.S. NO. ###-##-#### 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3. SEC USE ONLY 4. SOURCE OF FUNDS* OO 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION SAMUEL R. SHAPIRO IS A UNITED STATES CITIZEN NUMBER OF 7. SOLE VOTING POWER 0 SHARES BENEFICIALLY 8. SHARED VOTING POWER 554,650 OWNED BY EACH REPORTING PERSON WITH 9. SOLE DISPOSITIVE POWER 0 10. SHARED DISPOSITIVE POWER 554,650 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 554,650 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) |_| EXCLUDES CERTAIN SHARES* 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.02% 14. TYPE OF REPORTING PERSON* IN CUSIP No. 754459105 13D Page 4 of 6 Pages --------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON THE KALEIDOSCOPE FUND, LP -- ID NO. 58-2126127 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3. SEC USE ONLY 4. SOURCE OF FUNDS* WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION THE KALEIDOSCOPE FUND IS A GEORGIA LIMITED PARTNERSHIP NUMBER OF 7. SOLE VOTING POWER 0 SHARES BENEFICIALLY 8. SHARED VOTING POWER 0 OWNED BY EACH REPORTING PERSON WITH 9. SOLE DISPOSITIVE POWER 0 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) |_| EXCLUDES CERTAIN SHARES* 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% 14. TYPE OF REPORTING PERSON* PN This statement constitutes Amendment No. 3 (the "Amendment") to the statement on Schedule 13D filed with the Securities and Exchange Commission(the "Commission") on May 3, 1999, as amended by Amendment No. 1 filed with the Commission on July 26, 1999, Amendment No. 2 filed with the Commission on August 19, 1999 and Amendment No. 3 filed with the Commission on September 1, 1999 (the "Third Amendment"), by Shapiro Capital Management, Inc. (the "Company"), Samuel R. Shapiro, and The Kaleidoscope Fund, Limited Partnership (the "Fund") with respect to their ownership of common stock of Rawlings Sporting Goods Company, Inc. (the "Issuer"). ITEM 1. SECURITY AND ISSUER. Nothing to Amend. ITEM 2. IDENTITY AND BACKGROUND. The aggregate number and percentage of the Issuer's securities to which this Amendment relates is 554,650 representing 7.02% of the Issuer's outstanding Shares. The beneficial ownership reported by Samuel R. Shapiro and Shapiro Capital Management Company, Inc. relates to the same Shares of the Issuer and include the Shares of the Issuer reported herein as beneficially owned by the Fund. As of November 16, 1999, neither the Company nor Mr. Shapiro owned any Shares of the Issuer for its or his own account. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. The net investment cost is $6,846,034.01 for the 554,650 Shares reported in this Amendment. The consideration for the acquisition of the Shares was obtained from client accounts of the Company and working capital of the Fund, respectively. The Company did not purchase any of the Shares with borrowed funds. The Fund at times uses leverage to purchase securities and in conjunction therewith maintains a margin account with NationsBanc Montgomery Securities LLC. ITEM 4. PURPOSE OF TRANSACTION. Nothing to Amend. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. The information set forth in Rows 7, 8, 9, 10, 11 and 13 of the cover page hereto for each of the Company, the Fund and Mr. Shapiro is incorporated herein by reference. A summary of purchases and sales of Shares that are reflected in this Amendment and made since the Third Amendment was filed is set forth in Schedule 1 hereto. With respect to the Company and Mr. Shapiro, all such transactions were effected in accounts of clients of the Company. ITEM 6. CONTRACT, ARRANGEMENTS, UNDERSTANDING OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. Nothing to Amend. ITEM 7. MATERIALS TO BE FILED AS EXHIBITS. Nothing to Amend. 5 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. Shapiro Capital Management Company, Inc. By: /S/ SAMUEL R. SHAPIRO -------------------------------- Samuel R. Shapiro, President /S/ SAMUEL R. SHAPIRO ------------------------------------ Samuel R. Shapiro, individually The Kaleidoscope Fund, Limited Partnership By: Shapiro Capital Management Company, Inc. Its: General Partner By: /S/ SAMUEL R. SHAPIRO -------------------------------- Samuel R. Shapiro, President Date: November 17, 1999 6 SCHEDULE 1
Sale Information for Shapiro Capital Management Company, Inc. No purchases of the Issuer's shares were made since the Third Amendment was filed. Date - ---- 09-01-99 Sum of Quantity 600 Average of Avg. Price 9.31 09-03-99 Sum of Quantity 1,200 Average of Avg. Price 9.25 09-21-99 Sum of Quantity 15,000 Average of Avg. Price 9.12 09-22-99 Sum of Quantity 9,500 Average of Avg. Price 9.12 09-28-99 Sum of Quantity 4,500 Average of Avg. Price 9.81 09-29-99 Sum of Quantity 25,000 Average of Avg. Price 9.72 10-07-99 Sum of Quantity 200 Average of Avg. Price 8.65 10-11-99 Sum of Quantity 500 Average of Avg. Price 9.90 10-20-99 Sum of Quantity 200 Average of Avg. Price 8.62 10-27-99 Sum of Quantity 400 Average of Avg. Price 9.37 11-04-99 Sum of Quantity 500 Average of Avg. Price 9.25 11-05-99 Sum of Quantity 2,500 Average of Avg. Price 9.62 11-08-99 Sum of Quantity 15,300 Average of Avg. Price 9.31 11-09-99 Sum of Quantity 7,700 Average of Avg. Price 9.05 11-10-99 Sum of Quantity 40,000 Average of Avg. Price 8.75 11-11-99 Sum of Quantity 51,650 Average of Avg. Price 8.75 11-12-99 Sum of Quantity 20,400 Average of Avg. Price 8.72 11-15-99 Sum of Quantity 10,000 Average of Avg. Price 8.75 Total Sum of Quantity 205,150 Total Average of Avg. Price 8.88 Sale information for Shapiro Capital Management Company, Inc. on behalf only of the Kaleidoscope Fund, LP. Date - ---- 09-21-99 Sum of Quantity 15,000 Average of Avg. Price 9.12 09-22-99 Sum of Quantity 9,500 Average of Avg. Price 9.12 Total Sum of Quantity 24,500 Total Average of Avg. Price 9.12
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