-----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, MAzZslXloy0E4g9Oe05ykEhISE1dIW4/TrqSfw/4DYWXSSAHMIKJqmY/QpHJlQ0L cvytr/cnAt3GopNo+nM+eA== 0000009749-97-000071.txt : 19970222 0000009749-97-000071.hdr.sgml : 19970222 ACCESSION NUMBER: 0000009749-97-000071 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: AMEX SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STROUDS INC CENTRAL INDEX KEY: 0000927760 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-HOME FURNITURE, FURNISHINGS & EQUIPMENT STORES [5700] IRS NUMBER: 954107241 STATE OF INCORPORATION: DE FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43671 FILM NUMBER: 97534308 BUSINESS ADDRESS: STREET 1: 780 SOUTH NOGALES ST CITY: CITY OF INDUSTRY STATE: CA ZIP: 91748 BUSINESS PHONE: 8189122866 MAIL ADDRESS: STREET 1: 780 SOUTH NOGALES ST CITY: CITY OF INDUSTRY STATE: CA ZIP: 91748 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKERS TRUST NEW YORK CORP CENTRAL INDEX KEY: 0000009749 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 136180473 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 280 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 SC 13G/A 1 STROUDS 13G BANKERS TRUST NEW YORK CORPORATION One Bankers Trust Plaza New York, New York 10006 Linda L. Assali Mailing Address: Vice President BT Services Tennessee, Inc. Telephone: 615-835-2901 648 Grassmere Park Nashville, TN 37211 February 14, 1997 Securities and Exchange Commission SEC Document Control 450 Fifth Street, N.W. Washington, DC 20549 Attn: Filing Desk Dear Sirs: Re: Filing of Schedule 13G on Strouds, Inc. Pursuant to Rule 13d-1 of the General Rules and Regulations under the Securities Exchange Act of 1934, the following is one copy of the Schedule 13G with respect to the common stock of the above referenced corporation. Please acknowledge your receipt of the Schedule 13G filing submission through the EDGAR-Link System software, by E-Mail confirmation. Sincerely, Linda Assali Enclosures SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* ____ Strouds, Inc. _______________________________________ NAME OF ISSUER: Common Stock $.0001 par value _______________________________________ TITLE OF CLASS OF SECURITIES 863451100 _______________________________________ CUSIP NUMBER Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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 the disclosures provided in a prior cover page. The information required in 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). (Continued on following page(s)) Page 1 of 7 Pages CUSIP No. 863451100 Page 2 of 7 Pages 1.NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust New York Corporation and its indirect wholly-owned subsidiary, BT Capital Partners, Inc. IRS Identification No.: 13-2725387 2.CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (A) [ ] (B) [ ] 3.SEC USE ONLY 4.CITIZENSHIP OR PLACE OF ORGANIZATION Bankers Trust New York Corporation is a New York corporation; BT Capital Partners, Inc. is a Delaware corporation. NUMBER OF 5. SOLE VOTING POWER SHARES BT Capital Partners, Inc. 2,347,800 Shares BENEFICIALLY 6. SHARED VOTING POWER OWNED BY BT Capital Partners, Inc. 0 Shares EACH 7. SOLE DISPOSITIVE POWER REPORTING BT Capital Partners, Inc. 2,347,800 Shares PERSON 8. SHARED DISPOSITIVE POWER WITH BT Capital Partners, Inc. 0 Shares 9.AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON BT Capital Partners, Inc. 2,347,800 Shares *Includes presently exercisable warrants to purchase 212,850 shares CUSIP No. 863451100 Page 3 of 7 Pages 10.CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES * [ ] 11.PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 BT Capital Partners, Inc. 27.5% 12.TYPE OF REPORTING PERSON * Bankers Trust New York Corporation - HC; BT Capital Partners, Inc. - CO CUSIP No. 863451100 Page 4 of 7 Pages Item 1(a) NAME OF ISSUER: Strouds, Inc. Item 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 780 South Nogales Street City of Industry, California 91748 Item 2(a) NAME OF PERSON FILING: Bankers Trust New York Corporation, and its indirect wholly-owned subsidiary, BT Capital Partners, Inc. Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 130 Liberty Street New York, New York 10006 Item 2(c) CITIZENSHIP: Bankers Trust New York Corporation is incorporated in the State of New York with its principal business office located in New York; BT Capital Partners, Inc. is incorporated in the State of Delaware with its principal business office located in New York. Item 2(d) TITLE OF CLASS OF SECURITIES: Common Stock $.0001 par value of Strouds, Inc. Item 2(e) CUSIP NUMBER: 863451100 Item 3 THE PERSON FILING IS A: Not applicable. This Schedule is filed pursuant to Rule 13d-1(c). CUSIP No. 863451100 Page 5 of 7 Pages Item 4 OWNERSHIP: (a) Amount Beneficially Owned: BT Capital Partners, Inc. 2,347,800 Shares *Includes presently exercisable warrants to purchase 212,850 shares (b) Percent of Class: BT Capital Partners Inc. owns 25.0% of the outstanding common stock and rights to acquire an additional 2.5%. (c) Number of shares as to which BT Capital Partners, Inc. has: (i) sole power to vote or to direct the vote - BT Capital Partners, Inc. 2,347,800 Shares (ii) shared power to vote or to direct the vote - BT Capital Partners, Inc. 0 Shares (iii) sole power to dispose or to direct the disposition of - BT Capital Partners, Inc. 2,347,800 Shares (iv) shared power to dispose or to direct the disposition of - BT Capital Partners, Inc. 0 Shares Item 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not applicable. CUSIP No. 863451100 Page 6 of 7 Pages Item 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not applicable. Item 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: See Exhibit to Item 7. Item 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not applicable. Item 9 NOTICE OF DISSOLUTION OF GROUP: Not applicable. Item 10 CERTIFICATION: By signing below I 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. CUSIP No. 863451100 Page 7 of 7 Pages 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. Date: as of December 31, 1996 Signature: Bankers Trust New York Corporation By: /s/James T. Byrne, Jr. Name: James T. Byrne, Jr. Title: Secretary Signature: BT Capital Partners Inc. By: /s/Heide Silverstein Name: Heide Silverstein Title: Secretary-Treasurer EXHIBIT TO ITEM 7 The chain of ownership from Bankers Trust New York Corporation to BT Capital Partners Inc. is shown below: Bankers Trust New York Corporation | 100% | Bankers Trust Company | 100% | BT Holdings (New York) Inc. | 100% | BT Capital Partners Inc. -----END PRIVACY-ENHANCED MESSAGE-----