-----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, IEii+IvOImxCFZGNDKCezIamKlgohMJ3aHdAe+5rtaHCMljeiliQ+VIGGIk8EVQ9 LVCiOsrdreXDgGDlMJvMZw== 0000936392-97-000218.txt : 19970222 0000936392-97-000218.hdr.sgml : 19970222 ACCESSION NUMBER: 0000936392-97-000218 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOT TOPIC INC /CA/ CENTRAL INDEX KEY: 0001017712 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 770198182 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48895 FILM NUMBER: 97532462 BUSINESS ADDRESS: STREET 1: 3410 POMONA BLVD CITY: POMONA STATE: CA ZIP: 91768 MAIL ADDRESS: STREET 1: 3410 POMONA BLVD CITY: POMONA STATE: CA ZIP: 91768 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PHILLIPS SMITH SPECIALTY RETAIL GROUP III L P CENTRAL INDEX KEY: 0000901739 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 5080 SPECTRUM DR STREET 2: STE 700 WEST CITY: DALLAS STATE: TX ZIP: 75248 BUSINESS PHONE: 2143870725 MAIL ADDRESS: STREET 1: 5080 SPECTRUM DR STREET 2: STE 700 WEST CITY: DALLAS STATE: TX ZIP: 75248 SC 13G 1 SCHEDULE 13G FOR PHILLIPS-SMITH SPECIALTY RETAIL 1 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB NUMBER: 3235-0145 WASHINGTON, D.C. 20549 EXPIRES: OCTOBER 31, 1994 ESTIMATED AVERAGE BURDEN HOURS PER RESPONSE 14.90 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 HOT TOPIC, INC. ------------------------------------------ (Name of Issuer) COMMON STOCK ------------------------------------------ (Title of Class of Securities) 441339 10 8 ------------------------------------------ (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). FILED FEBRUARY 13, 1997 (REFLECTING OWNERSHIP AS OF 12/31/96) 2 CUSIP NO. 441339 10 8 13G PAGE 2 OF 4 PAGES --------------------- ----- ----- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] --------------------------------------------------------------------- 3 SEC USE ONLY --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION STATE OF TEXAS --------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 606,021 SHARES -------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- EACH -------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 606,021 -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- -------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 606,021 --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 13.17% --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN --------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 3 ITEM 1. (a) Name of Issuer: HOT TOPIC, INC. (b) Address of Issuer's Principal Executive Officers: 3410 POMONA BOULEVARD POMONA, CA 91766 ITEM 2. (a) Name of Person Filing: PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. (b) Address of Principal Business Office or, if none, Residence: 5080 SPECTRUM DRIVE, SUITE 700 WEST DALLAS, TX 75248 (c) Place of Organization: STATE OF TEXAS (d) Title of Class of Securities: COMMON STOCK (e) CUSIP Number: 441339 10 8 ITEM 3. NOT APPLICABLE. ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: 606,021 (b) Percent of Class: 13.17% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 606,021 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: 606,021 (iv) shared power to dispose or to direct the disposition of: -0- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS NOT APPLICABLE. 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. NOT APPLICABLE. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP NOT APPLICABLE. 4 ITEM 9. NOTICE OF DISSOLUTION OF GROUP NOT APPLICABLE. ITEM 10. CERTIFICATION NOT APPLICABLE. 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. 2/6/97 --------------------------------- Date PHILLIPS-SMITH SPECIALTY RETAIL GROUP III, L.P. By: its General Partner, Phillips-Smith Management Company By: /s/ Cece Smith ------------------------------ Cece Smith/General Partner --------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----