-----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, Kryr6sx8VS9gQsxNP6Ec+oxqgcJdfHnKx4nAySiyKk//uLCI9P4Khfqw7FiCCIP7 DB+1yDj9ft2joF2cWhFNdg== 0000950136-05-000078.txt : 20050106 0000950136-05-000078.hdr.sgml : 20050106 20050106092621 ACCESSION NUMBER: 0000950136-05-000078 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050106 DATE AS OF CHANGE: 20050106 GROUP MEMBERS: HARVEY HANERFELD GROUP MEMBERS: ROGER FELDMAN FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HANERFELD HARVEY CENTRAL INDEX KEY: 0001098386 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 700 ELEVENTH ST. STREET 2: SUITE 640 CITY: WASHINGTON STATE: DC ZIP: 20201 MAIL ADDRESS: STREET 1: 700 ELEVENTH ST STREET 2: SUITE 640 CITY: WASHINGTON STATE: DC ZIP: 20201 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MOSSIMO INC CENTRAL INDEX KEY: 0001005181 STANDARD INDUSTRIAL CLASSIFICATION: MEN'S & BOYS' FURNISHINGS, WORK CLOTHING, AND ALLIED GARMENTS [2320] IRS NUMBER: 330684524 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49745 FILM NUMBER: 05514551 BUSINESS ADDRESS: STREET 1: 2450 WHITE ROAD STREET 2: 2ND FLOOR CITY: IRVINE STATE: CA ZIP: 92614- BUSINESS PHONE: 9497970200 MAIL ADDRESS: STREET 1: 15320 BARRANCA PARKWAY CITY: IRVINE STATE: CA ZIP: 92718 SC 13G 1 file001.htm SCHEDULE 13G 

                                                  ------------------------------
                 UNITED STATES                    OMB APPROVAL
       SECURITIES AND EXCHANGE COMMISSION         ------------------------------
             WASHINGTON, D.C. 20549               OMB Number: 3235-0145
                                                  ------------------------------
                                                  Expires: December 31, 2005
                                                  ------------------------------
                                                  Estimated average burden
                                                  hours per response. . . 11
                                                  ------------------------------


                                  SCHEDULE 13G

                    UNDER THE SECURITIES EXCHANGE ACT OF 1934
                            (AMENDMENT NO. ________)*


                                  Mossimo, Inc.
            ----------------------------------------------------------
                                (Name of Issuer)


                                  Common Stock
            ----------------------------------------------------------
                         (Title of Class of Securities)


                                    619696107
            ----------------------------------------------------------
                                 (CUSIP Number)


                                December 17, 2004
            ----------------------------------------------------------
             (Date of Event which Requires Filing of this Statement)



Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:

         [   ]   Rule 13d-1(b)
         [ x ]   Rule 13d-1(c)
         [   ]   Rule 13d-1(d)


- -------------


* 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 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).




CUSIP NO. 619696107                                            PAGE 2 OF 8 PAGES
                                                                    --   --
- --------- ----------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
   IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
                Roger Feldman
- --------- ----------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)  (a) [  ]
                                                                        (b) [  ]
- --------- ----------------------------------------------------------------------
3. SEC USE ONLY

- --------- ----------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION United States citizen
- ----------------------- ---------- ---------------------------------------------
   NUMBER OF      5.         SOLE VOTING POWER              24,558
    SHARES        ---------- ---------------------------------------------------
BENEFICIALLY      6.         SHARED VOTING POWER            813,982
  OWNED BY        ---------- ---------------------------------------------------
    EACH          7.         SOLE DISPOSITIVE POWER         24,558
  REPORTING       ---------- ---------------------------------------------------
PERSON WITH       8.         SHARED DISPOSITIVE POWER       813,982
- --------- ----------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
          838,540
- --------- ----------------------------------------------------------------------
10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
    (See Instructions)                                                      [  ]

- --------- ----------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.3%
- --------- ----------------------------------------------------------------------
12. TYPE OF REPORTING PERSON (See Instructions) IN
- --------- ----------------------------------------------------------------------



CUSIP NO. 619696107                                            PAGE 3 OF 8 PAGES
                                                                    --   --
- --------- ----------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
   IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
                Harvey Hanerfeld
- --------- ----------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)  (a) [  ]
                                                                        (b) [  ]
- --------- ----------------------------------------------------------------------
3. SEC USE ONLY

- --------- ----------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION United States citizen
- ----------------------- ---------- ---------------------------------------------
   NUMBER OF      5.         SOLE VOTING POWER                   0
    SHARES        ---------- ---------------------------------------------------
BENEFICIALLY      6.         SHARED VOTING POWER           863,982
  OWNED BY        ---------- ---------------------------------------------------
    EACH          7.         SOLE DISPOSITIVE POWER               0
  REPORTING       ---------- ---------------------------------------------------
PERSON WITH       8.         SHARED DISPOSITIVE POWER       863,982
- --------- ----------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
          863,982
- --------- ----------------------------------------------------------------------
10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
    (See Instructions)                                                      [  ]

- --------- ----------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.5%
- --------- ----------------------------------------------------------------------
12. TYPE OF REPORTING PERSON (See Instructions) IN
- --------- ----------------------------------------------------------------------


                                                               Page 4 of 8 Pages

Item 1.            (a)  Name of Issuer:

                                 Mossimo, Inc.

                   (b)  Address of Issuer's Principal Executive Offices:

                                 2016 Broadway
                                 Santa Monica, CA 90404

Item 2.            (a)  Name of Person Filing:

                                 This Schedule 13G is being filed jointly by
                        Roger Feldman and Harvey Hanerfeld (the "Reporting
                        Persons").
                   (b)  Address of Principal Business Office or, if none,
                        Residence:

                                 The address of each of the Reporting Persons is
                        1919 Pennsylvania Avenue, NW, Suite 725, Washington, DC
                        20006
                   (c)  Citizenship:

                                 Each of the Reporting Persons is a United
                        States citizen.
                   (d)  Title of Class of Securities:

                                 Common Stock, $.001 par value
                   (e)  CUSIP Number:

                                 619696107

Item 3.       If this statement is filed pursuant to ss.ss.240.13d-1(b) or
              240.13d-2(b) or (c), 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 of 1940.
         (e) [  ] An investment adviser in accordance with ss.240.13d-1(b)(1)
                  (ii)(E).
         (f) [  ] An employee benefit plan or endowment fund in accordance with
                  ss.240.13d-1(b)(1)(ii)(F).
         (g) [  ] A parent holding company or control person in accordance with
                  ss.240.13d-1(b)(1)(ii)(G).
         (h) [  ] A savings associations as defined in Section 3(b) of the
                  Federal Deposit Insurance Act.
         (i) [  ] A church plan that is excluded from the definition of an
                  investment company under Section 3(c)(14) of the Investment
                  Company Act of 1940.
         (j) [  ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J).


                                                               Page 5 of 8 Pages
Item 4.         Ownership.
                          (a)    Amount Beneficially Owned: *

                          (b)    Percent of Class: *

                          (c)    Number of Shares as to which the person has:
                                 (i)   sole power to vote or direct the vote *
                                 (ii)  shared power to vote or direct the vote *
                                 (iii) sole power to dispose or direct the
                                       disposition of *
                                 (iv)  shared power to dispose or direct the
                                       disposition of *

                          *See Attachment A

Item 5.         Ownership of Five Percent or Less of a Class.
                If this statement is being filed to report the fact that as of
                the date hereof the reporting person has ceased to be the
                beneficial owner of more than five percent of the class of
                securities, check the following [  ].

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 or Control Person.
                          Not applicable.

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 not
                acquired and are not held for the purpose of or with the effect
                of changing or influencing the control of the issuer of the
                securities and were not acquired and are not held in connection
                with or as a participant in any transaction having that purpose
                or effect.


                                                               Page 6 of 8 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.

                                                    January 5, 2005
                                             -----------------------------------
                                                         (Date)

                                                    /s/ Roger Feldman
                                             -----------------------------------
                                                        (Signature)

                                                    Roger Feldman
                                             -----------------------------------
                                                       (Name/Title)

                                                    /s/ Harvey Hanerfeld
                                             -----------------------------------
                                                        (Signature)

                                                    Harvey Hanerfeld
                                             -----------------------------------
                                                      (Name/Title)

The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is signed
on behalf of a person by his authorized representative (other than an executive
officer or general partner of the filing person), evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement, provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.

NOTE: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See ss.240.13d-7 for other
parties for whom copies are to be sent.

Attention:        Intentional misstatements or omissions of fact constitute
                  Federal criminal violations (See 18 U.S.C. 1001)



                                                               Page 7 of 8 Pages


                                  ATTACHMENT A

                  As of December 29, 2004, Roger Feldman is the beneficial owner
of 838,540 shares of Common Stock, constituting 5.3% of the issued and
outstanding shares of Common Stock, and Harvey Hanerfeld is the beneficial owner
of 863,982 shares of Common Stock, constituting 5.5% of the issued and
outstanding shares of Common Stock. Roger Feldman has the sole power to vote or
to direct the voting of and to dispose and to direct the disposition of the
24,558 shares of Common Stock beneficially owned by him as an individual. As
sole stockholders of West Creek Capital, Inc., a Delaware corporation that is
the general partner of West Creek Capital, L.P., a Delaware limited partnership
that is the investment adviser to (i) West Creek Partners Fund L.P., a Delaware
limited partnership (the "Fund") and (ii) certain private accounts (the
"Accounts"), Mr. Feldman and Mr. Hanerfeld may be deemed to have the shared
power to direct the voting and disposition of the 431,322 shares of Common Stock
owned by the Fund and the 60,000 shares of Common Stock held in the Accounts. As
voting members of Cumberland Investment Partners, L.L.C., a Delaware limited
liability company ("Cumberland"), Mr. Feldman and Mr. Hanerfeld may be deemed to
have the shared power to direct the voting and disposition of the 322,660 shares
of Common Stock owned by Cumberland. Mr. Hanerfeld also may be deemed to have
shared power to direct the voting and disposition of 50,000 shares of Common
Stock owned by Mr. Hanerfeld's wife.






                                                               Page 8 of 8 Pages



                            AGREEMENT OF JOINT FILING

                  In accordance with Rule 13d-1(k) under the Securities Exchange
Act of 1934, as amended, the undersigned hereby agree to the joint filing with
all other persons signatory below of a statement on Schedule 13G or any
amendments thereto, with respect to the Common Stock of Mossimo, Inc., and that
this Agreement be included as an attachment to such filing.

                  This Agreement may be executed in any number of counterparts
each of which shall be deemed to be an original and all of which together shall
be deemed to constitute one and the same Agreement.

                  IN WITNESS WHEREOF, the undersigned hereby execute this
Agreement on the 5th day of January, 2005.


                                               /s/ Roger Feldman
                                               -----------------------------
                                               ROGER FELDMAN


                                               /s/ Harvey Hanerfeld
                                               -----------------------------
                                               HARVEY HANERFELD
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