-----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, MfBcX+gcAmf2qWCBYRU+YINefITTd1V4fnJWGAHeO6b9282L53eIEl8mH9Uu8Vik OUnec/+CPMZKni+Un2RlRw== 0000950005-98-000963.txt : 19981216 0000950005-98-000963.hdr.sgml : 19981216 ACCESSION NUMBER: 0000950005-98-000963 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19981215 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PEAK INTERNATIONAL LTD CENTRAL INDEX KEY: 0001036081 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS PRODUCTS, NEC [3089] IRS NUMBER: 000000000 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-52369 FILM NUMBER: 98769677 BUSINESS ADDRESS: STREET 1: UNITS 4,5 & 7 37TH FL WHARF CABLE TOWER STREET 2: 9 HOI SHING RD CITY: TSUEN WAN STATE: K3 ZIP: 00000 BUSINESS PHONE: 8522405100 MAIL ADDRESS: STREET 1: PEAK PLASTICS INC 211 KRAMER LANE CITY: AUSTIN STATE: TX ZIP: 78758 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NEUMEIER INVESTMENT COUNSEL LLC /ADV CENTRAL INDEX KEY: 0000763496 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 770444891 STATE OF INCORPORATION: CA FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 26435 CARMEL RANCHO BLVD CITY: CARMEL STATE: CA ZIP: 93923 BUSINESS PHONE: 4086256355 FORMER COMPANY: FORMER CONFORMED NAME: NEUMEIER INVESTMENT COUNSEL LLC /ADV DATE OF NAME CHANGE: 19970515 SC 13G 1 FORM SC 13G ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0145 Expires: August 31, 1999 Estimated average burden hours per response . . . 14.90 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* PEAK INTERNATIONAL LTD. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) G69586108 - -------------------------------------------------------------------------------- (CUSIP Number) August 13, 1998 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] 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 provides 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).
- --------------------------------------------- ------------------------------------------- ------------------------------------------ CUSIP No. G69586108 SCHEDULE 13G Page 2 of 10 Pages -- --- - ------------------------------------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Neumeier Investment Counsel I.R.S. Identification No. 77-0444891 - ---------- ------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ---------- ------------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ------------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A./California - ----------------------- ---- ------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER 889,500 NUMBER OF ---- ------------------------------------------------------------------------------------------------------- SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH ---- ------------------------------------------------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON 1,355,400 WITH ---- ------------------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER - ---------- ------------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,355,400 - ---------- ------------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ---------- ------------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.0% - ---------- ------------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA, OO - ---------- ------------------------------------------------------------------------------------------------------------------------- * SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ------------------------------------------- ------------------------------------------ CUSIP No. G69586108 SCHEDULE 13G Page 3 of 10 Pages -- --- - ---------- ------------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Peter Neumeier - ---------- ------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ---------- ------------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ------------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - ----------------------- ---- ------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER 889,500 ---- ------------------------------------------------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY ---- ------------------------------------------------------------------------------------------------------- OWNED BY 7 SOLE DISPOSITIVE POWER EACH 1,355,400 REPORTING PERSON ---- ------------------------------------------------------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER - ---------- ------------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,355,400 - ---------- ------------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ---------- ------------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.0% - ---------- ------------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - ---------- ------------------------------------------------------------------------------------------------------------------------- * SEE INSTRUCTION BEFORE FILLING OUT!
- -------------------------------------------------------------------------------- CUSIP No. G69586108 SCHEDULE 13G Page 4 of 10 Pages -- --- - -------------------------------------------------------------------------------- Item 1. (a) Name of Issuer -------------- Peak International Ltd. (b) Address of Issuer's Principal Executive Offices ------------------------------------------------ Units 3, 4, 5 and 7, 37th Floor Wharf Cable Tower 9 Hoi Shing Road Tsuen Wan N.T., Hong Kong Item 2. (a) Name of Person Filing: ---------------------- This statement is being filed by (i) Neumeier Investment Counsel, a limited liability corporation and registered investment adviser ("IA"), and (ii) Peter Neumeier, a controlling member of IA ("Member") (collectively, the "Reporting Persons"). Member controls IA by virtue of member's position as the holder of the majority interest (91%) of IA. IA's beneficial ownership of Peak International Ltd. ("the Common Stock") is direct as a result of IA's discretionary authority to buy, sell, and vote shares of such Common Stock for its investment advisory clients. Member's ownership of Common Stock is indirect as a result of Member's majority interest in IA, and is reported solely because Rules 13d-1(a) and (b) under the Securities Exchange Act of 1934, as amended (the "Rules"), require any person who is "directly or indirectly" the beneficial owner of more than five percent of any equity security of a specified class to file a Schedule 13G within the specified time period. The answers in blocks 5, 7, 9 and 11 on page 3 above and in responses to item 4 by Member are given on the basis of the "indirect" beneficial ownership referred to in such Rules, based on the direct beneficial ownership of Common Stock by IA and the relationship of the Member to IA referred to above. (b) Address of Principal Business Office or, if none, Residence: ------------------------------------------------------------ IA's Principal Business Office is located at: 26435 Carmel Rancho Blvd. Carmel, California 93923 - -------------------------------------------------------------------------------- CUSIP No. G69586108 SCHEDULE 13G Page 5 of 10 Pages -- --- - -------------------------------------------------------------------------------- Member's Principal Business Office is located at: 26435 Carmel Rancho Blvd. Carmel, California 93923 (c) Citizenship: ------------ IA is a California limited liability corporation. Member is a United States citizen. (d) Title of Class of Securities: ----------------------------- Common Stock (e) CUSIP Number: ------------- G69586108 Item 3. If this statement is filed pursuant to s.s. 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 (15 U.S.C. 78o) (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c) (c) [ ] Insurance Company as defined in section 3(a)(19) of the act (15 U.S.C. 78c) (d) [ ] Investment Company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8) (e) [X] An investment adviser in accordance with s. 240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with s. 240.13d-1(b)(1)(ii)(F); (g) [X] A parent holding company or control person in accordance with s. 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813) (i) [ ] A church plan parent that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with s. 240.13d-1(b)(1)(ii)(J). - -------------------------------------------------------------------------------- CUSIP No. G69586108 SCHEDULE 13G Page 6 of 10 Pages -- --- - -------------------------------------------------------------------------------- Item 4. Ownership (a) Amount Beneficially Owned: -------------------------- Reporting Persons directly or indirectly beneficially own 1,355,400 shares of Common Stock. IA's beneficial ownership is direct and Member's ownership is indirect. (b) Percent of Class: ----------------- 10.0% (c) Number of shares as to which such person has: --------------------------------------------- (i) sole power to vote or to direct the vote: 889,500 (ii) shared power to vote or to direct the vote: N/A (iii) sole power to dispose or to direct the disposition of: 1,355,400 (iv) shared power to dispose or to direct the disposition of: N/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 IA, an adviser registered with the SEC ("registered investment adviser"), and Member, IA's controlling member, have the right or the power to direct the receipt of dividends from Common Stock, and to direct the receipt of proceeds from the sale of Common Stock to IA's investment advisory clients. No single investment advisory client of IA owns more than 5% of the Common Stock. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Member is considered the equivalent of a parent holding company for purposes of this Schedule 13G. IA is considered Member's subsidiary, and - -------------------------------------------------------------------------------- CUSIP No. G69586108 SCHEDULE 13G Page 7 of 10 Pages -- --- - -------------------------------------------------------------------------------- acquired the security being reported on by Member. IA is a registered investment adviser. See Exhibit B. 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 purposes or effect. SIGNATURE After reasonable inquiry and to the best knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. December 14, 1998 NEUMEIER INVESTMENT COUNSEL By: _______________________ Peter Neumeier President _______________________ Peter Neumeier - -------------------------------------------------------------------------------- CUSIP No. G69586108 SCHEDULE 13G Page 8 of 10 Pages -- --- - -------------------------------------------------------------------------------- EXHIBITS EXHIBIT A Statement With Respect To Joint Filing Of Schedule 13G EXHIBIT B Identification and Classification of Subsidiary Which Acquired Security Being Reported On By the Parent Holding Company - -------------------------------------------------------------------------------- CUSIP No. G69586108 SCHEDULE 13G Page 9 of 10 Pages -- --- - -------------------------------------------------------------------------------- EXHIBIT A Statement With Respect To Joint Filing Of Schedule 13G The undersigned hereby agree that any statement of Schedule 13G to be filed with the Securities and Exchange Commission by any of the undersigned, including any amendment thereto, with respect to securities of Peak International Ltd. may be filed by any of the undersigned as a joint filing on behalf of all of the undersigned. December 14, 1998 NEUMEIER INVESTMENT COUNSEL By: ______________________ Peter Neumeier President ______________________ Peter Neumeier - -------------------------------------------------------------------------------- CUSIP No. G69586108 SCHEDULE 13G Page 10 of 10 Pages --- --- - -------------------------------------------------------------------------------- EXHIBIT B Identification and Classification of Subsidiary Which Acquired Security Being Reported On By the Parent Holding Company IA, a registered investment adviser, acquired "beneficial ownership" of the securities being reported on as a result of its discretionary authority to acquire, dispose and (with respect to certain of such securities) vote the securities being reported on. Under a series of SEC no-action letters, including the letter issued to Warren Buffet and Berkshire Hathaway, Inc. (available December 5, 1986), Member is considered the equivalent of the parent holding company of IA and is therefore eligible to report his indirect beneficial ownership in such shares on Schedule 13G. -----END PRIVACY-ENHANCED MESSAGE-----