-----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, Qe+78yiSVsY6cVLSf8fXCkWqfhiaX1ddpsetUTysF5Evpv/mrFErorB77x+9LP6V fqgkj72/HIbLnGIgZwj2xw== 0000903893-97-000204.txt : 19970221 0000903893-97-000204.hdr.sgml : 19970221 ACCESSION NUMBER: 0000903893-97-000204 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970210 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COST PLUS INC/CA/ CENTRAL INDEX KEY: 0000798955 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-VARIETY STORES [5331] IRS NUMBER: 941067973 STATE OF INCORPORATION: CA FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-45833 FILM NUMBER: 97522897 BUSINESS ADDRESS: STREET 1: 201 CLAY ST STREET 2: P O BOX 23350 CITY: OAKLAND STATE: CA ZIP: 94607 BUSINESS PHONE: 4158937300 MAIL ADDRESS: STREET 1: P O BOX 23350 STREET 2: P O BOX 23350 CITY: OAKLAND STATE: CA ZIP: 94623 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HLM MANAGEMENT CO INC CENTRAL INDEX KEY: 0000938635 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 042803046 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 222 BERKELEY ST CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6172600030 MAIL ADDRESS: STREET 1: 222 BERKELEY ST CITY: BOSTON STATE: MA ZIP: 02116 SC 13G 1 SCHEDULE 13-G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.____________)* COST PLUS INC. ----------------------------------------------------- (Name of Issuer) COMMON STOCK ----------------------------------------------------- (Title of Class of Securities) 221485105 ----------------------------------------------------- (CUSIP Number) CUSIP No. 221485105 13G Page 1 of 3 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HLM MANAGEMENT CO., INC. TAX I.D. 04 280 3046 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] HLM MANAGEMENT CO., INC. 222 BERKELEY ST. BOSTON, MA 02116 - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 498,000 SHS BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 498,000 SHS -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 498,000 SHS - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.89% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT Page 2 of 3 Pages Item 1. (a) Name of Issuer: COST PLUS INC. (b) Address of Issuer's Principal Executive Offices: 201 CLAY ST. OAKLAND, CA 94607 Item 2. (a) Name of Person Filing: HLM MANAGEMENT CO. INC. (b) Address of Principal Business Office: HLM MANAGEMENT CO. INC. 222 BERKELEY ST. BOSTON MA 02116 (c) Citizenship: MASSACHUSETTS & U.S. (d) Title of Class of Securities: COMMON STOCK (e) CUSIP Number: 221485105 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e) [X] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with Section 240.13d-1(b)(1)(ii)(G) (h) ( ) Group, in accordance with Section 240.13d- 1(b)(1)(ii)(H) Page 3 of 3 Pages Item 4. Ownership on 12/31/96 498,000 5.89% REPORTING PARTY HAS SOLE VOTING & DISPOSITVE POWER ON ALL SUCH SHARES. Item 5. Ownership of Five Percent or Less of a Class. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company. Item 8. Identification and Classification of Members of the Group. Item 9. Notice of Dissolution of Group. Item 10. Certification. By signing below -I/we- certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. HLM Management Co. Inc. by Signature. /s/ A.R. HABERKORN III ----------------------------- A.R. HABERKORN III Clerk After reasonable inquiry and to the best of my knowledge and belief, -I/we- certify that the information set forth in this statement is true, complete and correct. Date: By: 2/10/97 ------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----