-----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, Sdn06zkclmWvrLDDb52/p59KS8fEo0LikFQBSZuqOhPYA7kAR1eB/wE9Ey2CFeGp F7eOtIxO3FGz0CrIUINdlw== 0000921530-99-000191.txt : 19991018 0000921530-99-000191.hdr.sgml : 19991018 ACCESSION NUMBER: 0000921530-99-000191 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991001 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: 99721913 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: 152 WEST 57TH STREET STREET 2: 36TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 MAIL ADDRESS: STREET 1: 375 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10152 SC 13D/A 1 AMD #4 TO SC 13D RE RAWLINGS SPORTING GOODS SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 4)* RAWLINGS SPORTING GOODS COMPANY, INC. ____________________________________ (Name of Issuer) Common Stock, Par Value $0.01 Per Share _______________________________________ (Title of Class of Securities) 754459105 ______________ (CUSIP Number) Mr. Robert M. Raiff 152 West 57th Street New York, New York 10022 (212) 247-4000 with copy to: Patrick J. Dooley, Esq. Akin, Gump, Strauss, Hauer & Feld, L.L.P. 590 Madison Avenue New York, New York 10022 (212) 872-1000 _________________________________________________ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 28, 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. *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). (Continued on following pages) Page 1 of 5 Pages Page 2 of 5 Pages SCHEDULE 13D CUSIP No. 754459105 1 Name of Reporting Person I.R.S. Identification No. of Above Persons (Entities Only) ROBERT M. RAIFF 2 Check the Appropriate Box If a Member of a Group* a. [ ] b. [ ] 3 SEC Use Only 4 Source of Funds* Not Applicable 5 Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] 6 Citizenship or Place of Organization United States 7 Sole Voting Power Number of 622,700 Shares Beneficially 8 Shared Voting Power Owned By 0 Each Reporting 9 Sole Dispositive Power Person 622,700 With 10 Shared Dispositive Power 0 11 Aggregate Amount Beneficially Owned by Each Reporting Person 622,700 12 Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares* [ ] 13 Percent of Class Represented By Amount in Row (11) 7.91% 14 Type of Reporting Person* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 3 of 5 Pages This Amendment No. 4 to Schedule 13D relates to Common Shares, par value $0.01 per share (the "Shares"), of Rawlings Sporting Goods Company, Inc. (the "Issuer"). This Amendment No. [4] supplementally amends the initial statement on Schedule 13D dated August 27, 1997 and all amendments thereto (collectively, the "Initial Statement"), filed by the Reporting Person. This Amendment No. 4 is being filed by the Reporting Person to report that, as a result of the recent disposition of Shares of the Issuer, the number of Shares of which the Reporting Person currently may be deemed to be the beneficial owner has decreased by more than one percent of the total outstanding Shares. Capitalized terms used but not defined herein shall have the meanings ascribed to them in the Initial Statement. The Initial Statement is supplementally amended as follows. Item 4. Purpose of Transaction. The Reporting Person recently requested that the Issuer place a resolution before the stockholders, at the next annual meeting of stockholders, to rescind the Issuer's 1994 rights agreement (poison pill). The Issuer has indicated to the Reporting Person that the proposal is in proper form and that it will be included in the proxy statement for the next annual meeting of stockholders. All of the Shares reported herein were acquired or disposed of for investment purposes. The Reporting Person reserves the right to acquire, or cause to be acquired, additional securities of the Issuer, to dispose of, or cause to be disposed, such securities at any time or to formulate other purposes, plans or proposals, including those described in subparagragh (a) through (j) of Item 4 of Schedule 13D, regarding the Issuer or any of its securities, to the extent deemed advisable in light of general investment and trading policies of the Reporting Person, market conditions or other factors. Item 5. Interest in Securities of the Issuer. (a) The Reporting Person may be deemed the beneficial owner of the 622,700 Shares (approximately 7.91% of the total number of Shares outstanding). (b) The Reporting Person has the power to vote, direct the vote, dispose of or direct the disposition of all the Shares that are currently beneficially owned by the Reporting Person. (c) Except for the transactions disclosed on Annex A hereto, all of which were effected in the over-the-counter market in routine brokerage transactions, there have been no transactions with respect to the Shares since August 1, 1999 (60 days prior to the date hereof) by the Reporting Person. (d) Not applicable. (e) Not applicable. Page 4 of 5 Pages SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: October 1, 1999 By: /S/ ROBERT M. RAIFF _________________________________ Robert M. Raiff Page 5 of 5 Pages
ANNEX A RECENT TRANSACTIONS IN THE COMMON STOCK OF RAWLINGS SPORTING GOODS COMPANY, INC. Date of Number of Price Per Transaction Activity Shares Share - ----------- -------- ------ ----- 8/13/99 SALE 8,200 7.8826 8/16/99 SALE 3,000 8.0000 8/18/99 SALE 7,000 8.8330 8/19/99 SALE 8,000 8.8762 8/20/99 SALE 5,000 9.2500 8/25/99 SALE 5,000 10.5125 8/27/99 SALE 5,000 10.3000 8/30/99 SALE 2,000 10.0000 9/2/99 SALE 6,200 9.2500 9/3/99 SALE 1,600 9.0859 9/7/99 SALE 13,200 9.0074 9/8/99 SALE 2,000 9.0953 9/10/99 SALE 10,000 9.5063 9/13/99 SALE 600 9.5000 9/14/99 SALE 1,800 9.3750 9/15/99 SALE 11,000 9.1364 9/16/99 SALE 2,000 9.0000 9/17/99 SALE 9,000 9.0389 9/20/99 SALE 5,000 9.1625 9/21/99 SALE 7,000 9.1429 9/22/99 SALE 4,500 9.1597 9/28/99 SALE 26,000 10.0601 9/29/99 SALE 35,100 9.8206 9/30/99 SALE 4,200 9.3445 10/1/99 SALE 21,700 9.373
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