-----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, QsstilAdx8Ooq6weRRyCml7XSp1cxHNP9rwDvcul3Fk0ltsmL8iivcfguUEfjG9+ 5mrThcSzpv8qG+dBpEc6mA== 0001052443-98-000004.txt : 19980217 0001052443-98-000004.hdr.sgml : 19980217 ACCESSION NUMBER: 0001052443-98-000004 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: AMEX SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RIVIERA TOOL CO CENTRAL INDEX KEY: 0001018349 STANDARD INDUSTRIAL CLASSIFICATION: METALWORKING MACHINERY & EQUIPMENT [3540] IRS NUMBER: 382828870 STATE OF INCORPORATION: MI FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-52347 FILM NUMBER: 98533057 BUSINESS ADDRESS: STREET 1: 5460 EXECUTIVE PARKWAY CITY: GRAND RAPIDS STATE: MI ZIP: 49512 BUSINESS PHONE: 6166982100 MAIL ADDRESS: STREET 1: 5460 EXECUTIVE PKWY CITY: GRAND RAPIDS STATE: MI ZIP: 49512 FORMER COMPANY: FORMER CONFORMED NAME: RIVIERA DIE & TOOL INC DATE OF NAME CHANGE: 19960708 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HARRIS WILLIAM INVESTORS CENTRAL INDEX KEY: 0001052443 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 2 N LASALLE STREET STREET 2: SUITE 400 CITY: CHICAGO STATE: IL ZIP: 60602 BUSINESS PHONE: 3126210590 SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20594 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No )* Riviera Tool Co (Name of Issuer) Common Stock (Title of Class of Securities) 769648-10-6 (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). PAGE 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Harris William Investors (William Harris Investors, Inc.) 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5 SOLE VOTING POWER None 6 SHARED VOTING POWER *125,300 *Assumes conversion of $690,000 convertible note into 115,000 shares of Common Stock. 7 SOLE DISPOSITIVE POWER *125,300 *Assumes conversion of $690,000 convertible note into 115,000 shares of Common Stock. 8 SHARED DISPOSITIVE POWER None 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON *125,300 *Assumes conversion of $690,000 convertible note into 115,000 shares of Common Stock. 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*[ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 *6.70% *Assumes conversion of $690,000 convertible note into 115,000 shares of Common Stock.. 12 TYPE OF REPORTING PERSON* IA *SEE INSTRUCTION BEFORE FILLING OUT! PAGE SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Schedule 13G Under the Securities Exchange Act of 1934 Amendment No Item 1(a) Name of Issuer: Riviera Tool Company Item 1(b) Address of Issuer's Principal Executive Offices: 5460 Executive Parkway, SE Grand Rapids, MI 49512 Item 2(a) Name of Person Filing: William Harris Investors, Inc. Item 2(b) Address of Principal Business Office: 2 North LaSalle Street, Suite 400 Chicago, IL 60602 Item 2(c) Citizenship: The filing entity is a Delaware corporation Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 769648-10-6 Item 3 Type of Person: (e)[X] Investment Adviser registered under Section 203 of the Investment Adviser Act of 1940 Item 4 Ownership at December 31, 1997: (a) Amount beneficially owned: *125,300 shares *Assumes conversion of $690,000 convertible note into 115,000 shares of Common Stock. (b) Percent of class: *6.70% *Assumes conversion of $690,000 convertible note into 115,000 shares of Common Stock. (c) Number of shares as to which the filing person has: (i) Sole power to vote or to direct the vote: None (ii) Shared power to vote or to direct the vote: *125,300 *Assumes conversion of $690,000 convertible note into 115,000 shares of Common Stock. (iii) Sole power to dispose or to direct the disposition of: *125,300 *Assumes conversion of $690,000 convertible note into 115,000 shares of Common Stock. (iv) Shared power to dispose or to direct the disposition of: None 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: The securities reported herein have been acquired on behalf of discretionary clients of William Harris Investors, Inc. ("WHI"). Persons other than WHI are entitled to receive all dividends from, and proceeds from the sale of, those securities. 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 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. 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: February 9, 1998 Signature: /s/ Gary Neumayer Name/Title: Gary Neumayer, Treasurer and Compliance Officer -----END PRIVACY-ENHANCED MESSAGE-----