-----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, Q7q7NM15Ki6AZk8Cbg8igTQTGoElZWM2BnGxdI/z4ZDe1etZu2uIeA9jsZTMFY/m WhKCCScHq6kUJYqIzJEMsA== 0000892569-97-000450.txt : 19970222 0000892569-97-000450.hdr.sgml : 19970222 ACCESSION NUMBER: 0000892569-97-000450 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SRS LABS INC CENTRAL INDEX KEY: 0001016470 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 330714264 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49103 FILM NUMBER: 97534840 BUSINESS ADDRESS: STREET 1: 2909 DAIMIER ST CITY: SANTA ANA STATE: CA ZIP: 92705 BUSINESS PHONE: 7144421070 MAIL ADDRESS: STREET 1: 2909 DAIMLER ST CITY: SANTA ANA STATE: CA ZIP: 92705 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CUTLER FRANK W CENTRAL INDEX KEY: 0000944077 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 11 SMITHCLIFFS RD CITY: LAGUNA BEACH STATE: CA ZIP: 92651 BUSINESS PHONE: 7143762141 MAIL ADDRESS: STREET 1: 11 SMITHCLIFFS RD CITY: LAGUNA BEACH STATE: CA ZIP: 92651 SC 13G 1 SCHEDULE 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. __________)* SRS Labs, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 78464M 10 6 - -------------------------------------------------------------------------------- (CUSIP Number) * 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). Page 1 of 5 Pages 2 - --------------------- ----------------- CUSIP No. 78464M 10 6 13G Page 2 of 5 Pages - --------------------- ----------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS OR S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Frank W. Cutler - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (SEE INSTRUCTIONS) (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 563,873 BENEFICIALLY ------------------------------------------ OWNED 6 SHARED VOTING POWER BY EACH REPORTING -0- PERSON ------------------------------------------ WITH 7 SOLE DISPOSITIVE POWER 563,873 ------------------------------------------ 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 563,873 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- 3 - --------------------- ----------------- CUSIP No. 78464M 10 6 13G Page 3 of 5 Pages - --------------------- ----------------- Item 1(a). Name of Issuer: SRS Labs, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 2909 Daimler Street, Santa Ana, California 92705 Item 2(a). Name of Person Filing: Frank W. Cutler Item 2(b). Address of Principal Business Office or, if None, Residence: The Cutler Group, 711 North Bayfront, Newport Beach, California 92662 Item 2(c). Citizenship: U.S.A. Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 78464M 10 6 Item 3. If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b), identify the type of reporting person. Inapplicable. Item 4. Ownership. (a) Amount Beneficially Owned: 563,873 (b) Percent of Class: 6.0% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 563,873 (ii) Shared power to vote or to direct the vote: 0 4 - --------------------- ----------------- CUSIP No. 78464M 10 6 13G Page 4 of 5 Pages - --------------------- ----------------- (iii) Sole power to dispose or to direct the disposition of: 563,873 (iv) Shared power to dispose or to direct the disposition of: 0 Item 5. Ownership of Five Percent or Less of a Class. Inapplicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person. The 563,873 shares beneficially owned by Frank W. Cutler include 724 shares held by Mr. Cutler as custodian for his niece, Lakin Alexis McCarthy, who has the right to receive the dividends from, and the proceeds from the sale of, such shares. Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company. Inapplicable. Item 8. Identification and Classification of Members of the Group. Inapplicable. Item 9. Notice of Dissolution of Group. Inapplicable. Item 10. Certification. Inapplicable. 5 - --------------------- ----------------- CUSIP No. 78464M 10 6 13G Page 5 of 5 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. February 13, 1997 ----------------------------- Date /s/ Frank W. Cutler ------------------------------ Frank W. Cutler -----END PRIVACY-ENHANCED MESSAGE-----