-----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, IOwcvsmcA5Ibepg8MxSrxmOg/+nvsXh3b3YmgLuTR387sDruma+qOXt8oqOGl4H0 RRw4DW9GNjWwbqb3pIpwAg== 0000950134-99-009276.txt : 19991029 0000950134-99-009276.hdr.sgml : 19991029 ACCESSION NUMBER: 0000950134-99-009276 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991028 GROUP MEMBERS: BESS C STEPHENS GROUP MEMBERS: BESS C STEPHENS TRUST GROUP MEMBERS: BRADBURY ENTERPRISES GROUP MEMBERS: CORAL PARTNERS GROUP MEMBERS: CORAL TWO CORPORATION GROUP MEMBERS: CURTIS F BRADBURY JR GROUP MEMBERS: DOUGLAS H MARTIN GROUP MEMBERS: ELIZABETH ANN STEPHENS CAMPBELL REVOCABLE TRUST GROUP MEMBERS: ELIZABETH STEPHENS CAMPBELL GROUP MEMBERS: HARRIET C STEPHENS GROUP MEMBERS: HARRIET CALHOUN STEPHENS TRUST GROUP MEMBERS: J&J PARTNERS GROUP MEMBERS: JACKSON T STEPHENS GROUP MEMBERS: JACKSON T STEPHENS GRANDCHILDRENS TRUST AAAA GROUP MEMBERS: JACKSON T STEPHENS TRUST NO ONE GROUP MEMBERS: JACOBY ENTERPRISES INC GROUP MEMBERS: JOE E M JACOBY GROUP MEMBERS: JOHN CALHOUN STEPHENS TRUST GROUP MEMBERS: LAURA WHITAKER STEPHENS TRUST GROUP MEMBERS: PAMELA DIANE STEPHENS GROUP MEMBERS: PAMELA DIANE STEPHENS TRUST ONE GROUP MEMBERS: SOMMERS JAMES GROUP MEMBERS: STEPHENS GROUP INC GROUP MEMBERS: VERNON J GISS GROUP MEMBERS: VOTING AGREEMENT GROUP MEMBERS: W R STEPHENS JR REVOCABLE TRUST GROUP MEMBERS: WARREN & HARRIET STEPHENS CHILDRENS TRUST GROUP MEMBERS: WARREN A STEPHENS GROUP MEMBERS: WARREN A STEPHENS TRUST GROUP MEMBERS: WARREN MILES AMERINE STEPHENS TRUST UID 9/10/86 GROUP MEMBERS: WILTON R STEPHENS JR SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: POWER ONE INC CENTRAL INDEX KEY: 0001042825 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 770420182 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-51761 FILM NUMBER: 99736195 BUSINESS ADDRESS: STREET 1: 740 CALLE PLANO CITY: CAMARILLO STATE: CA ZIP: 93012 BUSINESS PHONE: 8059878741 MAIL ADDRESS: STREET 1: 740 CALLE PLANO CITY: CAMARILLO STATE: CA ZIP: 93012 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SOMMERS JAMES CENTRAL INDEX KEY: 0001063039 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 237 CHEROKEE ROAD CITY: CHARLOTTE STATE: NC ZIP: 28207 BUSINESS PHONE: 7043342824 MAIL ADDRESS: STREET 1: 237 CHEROKEE ROAD CITY: CHARLOTTE STATE: NC ZIP: 28207 SC 13D/A 1 AMENDMENT NO. 1 TO SCHEDULE 13D 1 ------------------------- OMB APPROVAL ------------------------- OMB Number: 3235-0145 Expires: October 31, 1994 Estimated average burden hours per form.....14.90 ------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Power-One, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock - ------------------------------------------------------------------------------- (Title of Class of Securities) 739308 10 4 --------------------------------------------------------- (CUSIP Number) David A. Knight, c/o Stephens Group, Inc., 111 Center Street, Little Rock, AR 72201, (501) 377-2573 - --------------------------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
September 15, 1999 --------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [ ]. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule including all exhibits. See Section 240.13d-7(b) for other parties to whom copies are to be sent. *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 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). 2 CUSIP No. 739308 10 4 Page 2 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Voting trust pursuant to agreement dated as of June 8, 1998 - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power 5,210,588 NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power -0- - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 5,210,588 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 23.6 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 3 CUSIP No. 739308 10 4 Page 3 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Stephens Group, Inc. - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [x] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 2,843,650 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 2,843,650 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 12.9 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) HC, CO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 4 CUSIP No. 739308 10 4 Page 4 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Jackson T. Stephens Trust No. One - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 77,708 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 77,708 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.4 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 5 CUSIP No. 739308 10 4 Page 5 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Jackson T. Stephens - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power 22,000 NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING 22,000 PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 191,112 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 213,112 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 1.0 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 6 CUSIP No. 739308 10 4 Page 6 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Warren A. Stephens - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power 52,272 NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY 88,209 OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING 52,272 PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 458,295 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 510,567 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 2.3 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 7 CUSIP No. 739308 10 4 Page 7 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Bess C. Stephens Trust - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 113,404 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 113,404 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.5 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 8 CUSIP No. 739308 10 4 Page 8 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Bess C. Stephens - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY 22,500 OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 411,075 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 411,075 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 1.9 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION 9 CUSIP No. 739308 10 4 Page 9 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Vernon J. Giss - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 113,404 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 113,404 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.5 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 10 CUSIP No. 739308 10 4 Page 10 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Warren A. Stephens Trust - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 60,629 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 60,629 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.3 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 11 CUSIP No. 739308 10 4 Page 11 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Warren & Harriet Stephens Children's Trust - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 99,979 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 99,979 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.5 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 12 CUSIP No. 739308 10 4 Page 12 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Jon E.M. Jacoby - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power 23,522 NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY 155,709 OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING 23,522 PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 1,069,863 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 1,093,385 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 4.9 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 13 CUSIP No. 739308 10 4 Page 13 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Harriet Calhoun Stephens Trust - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 55,418 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 55,418 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.3 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 14 CUSIP No. 739308 10 4 Page 14 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Harriet C. Stephens - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 55,418 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 55,418 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.3 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 15 CUSIP No. 739308 10 4 Page 15 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Elizabeth Ann Stephens Campbell Revocable Trust - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 228,262 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 228,262 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 1.0 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 16 CUSIP No. 739308 10 4 Page 16 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Elizabeth Stephens Campbell - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 503,433 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 503,433 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 2.3 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 17 CUSIP No. 739308 10 4 Page 17 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) W.R. Stephens, Jr. Revocable Trust - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 273,263 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 273,263 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 1.2 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 18 CUSIP No. 739308 10 4 Page 18 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Wilton R. Stephens, Jr. - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY 22,500 OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 570,934 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 570,934 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 2.6 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 19 CUSIP No. 739308 10 4 Page 19 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Jackson T. Stephens Grandchildrens Trust AAAA - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 369,189 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 369,189 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 1.7 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 20 CUSIP No. 739308 10 4 Page 20 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Pamela Diane Stephens Trust One - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 275,171 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 275,171 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 1.2 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 21 CUSIP No. 739308 10 4 Page 21 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Pamela Diane Stephens - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 275,171 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 275,171 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 1.2 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 22 CUSIP No. 739308 10 4 Page 22 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Warren Miles Amerine Stephens Trust UID 9/10/86 - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 53,720 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 53,720 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.2 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 23 CUSIP No. 739308 10 4 Page 23 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) John Calhoun Stephens Trust - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 53,720 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 53,720 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.2 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 24 CUSIP No. 739308 10 4 Page 24 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Laura Whitaker Stephens Trust - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 53,720 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 53,720 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.2 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 25 CUSIP No. 739308 10 4 Page 25 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) J & J Partners - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 39,172 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 39,172 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.2 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) PN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 26 CUSIP No. 739308 10 4 Page 26 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Jacoby Enterprises, Inc. - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 156,788 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 156,788 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.7 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) CO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 27 CUSIP No. 739308 10 4 Page 27 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Coral Two Corporation - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 107,848 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 107,848 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.5 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) CO - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 28 CUSIP No. 739308 10 4 Page 28 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Douglas H. Martin - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power 41,818 NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING 41,818 PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 50,953 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 92,771 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.4 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 29 CUSIP No. 739308 10 4 Page 29 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Curtis F. Bradbury, Jr. - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 156,816 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 156,816 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.7 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 30 CUSIP No. 739308 10 4 Page 30 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Bradbury Enterprises - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [x] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 52,272 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 52,272 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.2 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) PN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 31 CUSIP No. 739308 10 4 Page 31 of 40 Pages -------------------- SCHEDULE 13D - ------------------------------------------------------------------------------------------------------- 1 Name of Reporting Persons I.R.S. Identification No. of Above Persons (entities only) Coral Partners - ------------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [ ] - ------------------------------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) Not applicable - ------------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Arkansas - ------------------------------------------------------------------------------------------------------- 7 Sole Voting Power -0- NUMBER OF --------------------------------------------------------------------------- SHARES 8 Shared Voting Power BENEFICIALLY -0- OWNED BY --------------------------------------------------------------------------- EACH 9 Sole Dispositive Power REPORTING -0- PERSON --------------------------------------------------------------------------- WITH 10 Shared Dispositive Power 70,589 - ------------------------------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 70,589 - ------------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ------------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.3 - ------------------------------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) PN - -------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 32 CUSIP No. 739308 10 4 Page 32 of 40 Pages The following materials amend the corresponding items set forth in the initial statement in Schedule 13D dated June 10, 1998 filed by the Reporting Persons. ITEM 1. SECURITY AND ISSUER This Amendment No. 1 to Schedule 13D relates to the common stock, par value $0.001 per share, of Power-One, Inc. ("Power-One"), the principal executive offices of which are located at 740 Calle Plano, Camarillo, California 93012. It is being filed to report a decrease in beneficial ownership resulting from the sale of Power-One common stock by certain of the Reporting Persons in a public offering on September 15, 1999. ITEM 2. IDENTITY AND BACKGROUND Item 2 is hereby amended and supplemented by adding thereto the following: (c)(x) On November 12, 1998 a civil action was filed by the U.S. Attorney's Office in the U.S. District Court for the Northern District of Florida, Case No. 3:98cv448/RV/MD, against Stephens Inc. The matter was settled pursuant to court order on November 24, 1998. Stephens Inc. was held vicariously liable on a civil basis under 18 U.S.C. Sections 1341, 1343, 1345 and 1346 for (i) undisclosed payments made by three former employees to two Florida public officials in connection with the pursuit of municipal finance business in Florida; and (ii) a former employee's failure to disclose payments made to an outside consultant and an employee of another broker dealer in connection with an offering of the Florida Community Services Corp. of Walton County. Stephens Inc. paid a $2.25 million civil penalty to the Dept. of Justice, $296,385.90 to the Escambia County (Florida) Utilities Authority, $53,756.38 to the Osceola County (Florida) Commission, and $536,529.73 to the Florida Housing Finance Agency. The firm also agreed to forego any new, negotiated municipal securities business in Florida for five years, and to forego permanently the use of outside consultants in connection with the solicitation of municipal bond business. (xi) On November 23, 1998 the SEC filed an Administrative Proceeding (File No. 3-9781) against Stephens Inc. which, without admitting or denying the findings, consented to entry of the findings and the imposition of remedial sanctions by the SEC. The SEC found: 1) three former employees made undisclosed payments to three Florida public officials in connection with the firm's municipal securities activities in Florida between 1992 and 1995; 2) inaccurate entries were made on the firm's books and records concerning outside municipal finance consultants, expenses charged to issuers, and the improper reimbursement of political contribution made by employees of the firm; and 3) the firm failed to disclose a commission earned on a guaranteed investment contract purchased by the Cherokee Co. (Ga.) Water & Sewerage Authority in connection with an offering underwritten by Stephens Inc. Such conduct violated Sections 10(b), 15B(c)(1) and 17(a) of the Exchange Act and Rules 10b-5 and 17a-3 thereunder, Section 17(a) of the Securities Act, and MSRB Rules G-8, G-17 and G-20. Stephens Inc. was ordered to: 1) cease and desist from committing violations of Sections 10(b), 15B(c)(1) and 17(a) of the Exchange Act and Rules 10b-5 and 17a-3 thereunder, Section 17(a) of the Securities Act, and MSRB rules G-8, G-17 and G-20; 2) pay a $2.25 million civil penalty to the Commission; 3) pay $111,019.19 to the Cherokee (Ga.) Water & Sewerage Authority; and 4) retain an independent consultant to review public finance policies and procedures. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Item 5 is hereby amended by deleting the previous Item 5 and replacing it in its entirety with the following: (a) The following table discloses the ownership of the common stock of Power-One by the Reporting Persons and their respective directors and executive officers: 33 CUSIP No. 739308 10 4 Page 33 of 40 Pages
Percent of Number of Outstanding Name Shares Shares Voting Power Investment Power - ---- --------- ---------- --------------- ------------------ Voting Trust pursuant to the Voting Trust Agreement 5,210,588 23.6 Sole: 5,210,588 -0- Stephens Group, Inc. 2,843,650 12.9 -0- Shared: 2,843,650 Jackson T. Stephens Trust No. One 77,708 0.4 -0- Shared: 77,708 Bess C. Stephens Trust 113,404 0.5 -0- Shared: 113,404 Warren A. Stephens Trust 60,629 0.3 -0- Shared: 60,629 Warren & Harriet Stephens Children's Trust 99,979 0.5 -0- Shared: 99,979 Harriet Calhoun Stephens Trust 55,418 0.3 -0- Shared: 55,418 Elizabeth Ann Stephens Campbell Revocable Trust 228,262 1.0 -0- Shared: 228,262 W. R. Stephens, Jr. Revocable Trust 273,263 1.2 -0- Shared: 273,263 Jackson T. Stephens Grandchildrens Trust AAAA 369,189 1.7 -0- Shared: 369,189 Pamela Diane Stephens Trust One 275,171 1.2 -0- Shared: 275,171 Warren Miles Amerine Stephens Trust 53,720 0.2 -0- Shared: 53,720 John Calhoun Stephens Trust 53,720 0.2 -0- Shared: 53,720 Laura Whitaker Stephens Trust 53,720 0.2 -0- Shared: 53,720 Jackson T. Stephens (1) 213,112 1.0 Sole: 22,000 Sole: 22,000 Shared: 191,112 Warren A. Stephens (2) 510,567 2.3 Sole: 52,272 Sole: 52,272 Shared: 88,209 Shared: 458,295 Bess C. Stephens (3) 411,075 1.9 Shared: 22,500 Shared: 411,075 Vernon J. Giss (4) 113,404 0.5 -0- Shared: 113,404 Jon E.M. Jacoby (5) 1,093,385 4.9 Sole: 23,522 Sole: 23,522 Shared: 155,709 Shared: 1,069,863 Harriet C. Stephens (6) 55,418 0.3 -0- Shared: 55,418 Elizabeth Stephens Campbell (7) 503,433 2.3 -0- Shared: 503,433 Wilton R. Stephens, Jr. (8) 570,934 2.6 Shared: 22,500 Shared: 570,934 Pamela Diane Stephens (9) 275,171 1.2 -0- Shared: 275,171 J & J Partners 39,172 0.2 -0- Shared: 39,172 Jacoby Enterprises, Inc. 156,788 0.7 -0- Shared: 156,788 Coral Two Corporation 107,848 0.5 -0- Shared: 107,848 Douglas H. Martin (10) 92,771 0.4 Sole: 41,818 Sole: 41,818 Shared: 50,953 Curtis F. Bradbury, Jr. (11) 156,816 0.7 -0- Shared: 156,816 Bradbury Enterprises 52,272 0.2 -0- Shared: 52,272 I. Ernest Butler (12) 67,500 0.3 Shared: 67,500 Shared: 67,500 Coral Partners 70,589 0.3 -0- Shared: 70,589 Craig D. Campbell -0- -0- -0- -0- William Walker 5,000 0.0 Sole: 5,000 Sole: 5,000
(1) Includes 77,708 shares beneficially owned by Jackson T. Stephens Trust No. One and 113,404 shares beneficially owned by Bess C. Stephens Trust, of which Jackson T. Stephens is a trustee. Also includes 22,000 owned by Jackson T. Stephens. (2) Includes 77,708 shares beneficially owned by Jackson T. Stephens Trust No. One, 60,629 shares beneficially owned by Warren A. Stephens Trust, 53,720 shares beneficially owned by each of Warren Miles Amerine Stephens Trust, John Calhoun Stephens Trust and Laura Whitaker Stephens Trust, and 29,403 shares owned by each of Grandchild's Trust One UID 12/16/85, Grandchild's Trust Two UID 12/16/85 and Grandchild's Trust Three UID 12/89. Mr. Stephens is a trustee for each of these trusts. Also includes 52,272 shares owned by Stephens Inc. Custodian for Warren A. Stephens IRA. Also includes 70,589 shares beneficially owned by Coral Partners, of which Mr. Stephens is a general partner. 34 CUSIP No. 739308 10 4 Page 34 of 40 Pages (3) Includes 113,404 shares beneficially owned by Bess C. Stephens Trust, 275,171 shares beneficially owned by Pamela Diane Stephens Trust One and 22,500 shares owned by W.R. Stephens, Jr. Children's Trust UID 3/1/95. Ms. Stephens is a trustee for each of these trusts. (4) Includes 113,404 shares beneficially owned by Bess C. Stephens Trust, of which Vernon J. Giss is a trustee. (5) Includes 29,403 shares owned by each of Grandchild's Trust One UID 12/16/85, Grandchild's Trust Two UID 12/16/85 and Grandchild's Trust Three UID 12/89, 99,979 shares beneficially owned by Warren & Harriet Stephens Children's Trust UID 9/30/87, 369,189 shares beneficially owned by Jackson T. Stephens Grandchildren's Trust AAAA, and 22,500 shares owned by each of Susan Stephens Campbell 1995 Trust UID 12/4/95, Craig D. Campbell, Jr. 1995 Trust UID 12/4/95 and Elizabeth Chisum Campbell 1995 Trust UID 12/4/95. Mr. Jacoby is a trustee for each of these trusts. Also includes 39,172 shares beneficially owned by J & J Partners, 156,788 shares beneficially owned by Jacoby Enterprises, Inc., 107,848 shares beneficially owned by Coral Two Corporation, 23,522 shares owned by Delaware Charter Guarantee & Trust F/B/O Jon E.M. Jacoby Keogh, 70,589 shares beneficially owned by Coral Partners and 70,589 shares beneficially owned by Mr. Jacoby. (6) Includes 55,418 shares beneficially owned by Harriet Calhoun Stephens Trust, of which Harriet C. Stephens is a trustee. Excludes shares beneficially owned by Harriet Calhoun Stephens' husband, Warren A. Stephens, listed in note (2) above. (7) Includes 228,262 shares beneficially owned by Elizabeth Ann Stephens Campbell Revocable Trust and 275,171 shares beneficially owned by Pamela Diane Stephens Trust One, of which Elizabeth Stephens Campbell is a trustee. (8) Includes 273,263 shares beneficially owned by W. R. Stephens, Jr. Revocable Trust and 275,171 shares beneficially owned by Pamela Diane Stephens Trust One, of which Wilton R. Stephens, Jr. is a trustee. Also includes 22,500 shares owned by W.R. Stephens, Jr. Children's Trust UID 3/1/95, of which Wilton R. Stephens, Jr. is a trustee. (9) Includes 275,171 shares beneficially owned by Pamela Diane Stephens Trust One, of which Pamela Diane Stephens is a trustee. (10) Includes 41,818 shares owned by Stephens Inc. Custodian for Douglas H. Martin IRA and 50,953 shares beneficially owned by Mr. Martin. (11) Includes 52,272 shares beneficially owned by Bradbury Enterprises and 104,544 shares beneficially owned by Mr. Bradbury. (12) Includes 22,500 shares owned by each of Susan Stephens Campbell 1995 Trust UID 12/4/95, Craig D. Campbell, Jr. 1995 Trust UID 12/4/95 and Elizabeth Chisum Campbell 1995 Trust UID 12/4/95. Mr. Butler is a trustee for each of these trusts. 35 CUSIP No. 739308 10 4 Page 35 of 40 Pages (b) The table below discloses the beneficial ownership of common stock of Power-One by persons who may comprise a group with any of the Reporting Persons within the meaning of Rule 13-d(3) of the Exchange Act. The persons listed below expressly disclaim membership in any group pursuant to Regulation 13D.
Percent of Outstanding Name Number of Shares Shares - ---- ---------------- ----------- Stephens Inc. 57,446 0.3 Grandchild's Trust One 29,403 0.1 Grandchild's Trust Two 29,403 0.1 Grandchild's Trust Three 29,403 0.1 K. Rick Turner 5,226 0.0 C. Ray Gash 1,135 0.0 Robert L. Schulte 13,067 0.1 William S. Walker 5,000 0.0 Gordon D. Grender & Amanda F. Grender, JTWROS 78,408 0.4 Susan Stephens Campbell 1995 Trust 22,500 0.1 Craig D. Campbell, Jr. 1995 Trust 22,500 0.1 Elizabeth Chisum Campbell 1995 Trust 22,500 0.1 W. R. Stephens, Jr. Children's Trust 22,500 0.1
(c) The Voting Trustee expressly disclaims beneficial ownership of any securities covered by this Schedule 13D. (d) On September 15, 1999, Power-One and certain of its shareholders sold 7,475,000 shares of Power-One common stock in a public offering underwritten by Stephens Inc., BancBoston Robertson Stephens Inc. and Thomas Weisel Partners LLC. 4,975,000 shares were sold by Power-One and 2,500,000 were sold by the shareholders. The public offering price was $25.00 per share, from which the selling shareholders received proceeds of $23.88 per share. The table below discloses sales by the Reporting Persons in the public offering on September 15, 1999.
Name Number of Shares - ---- ---------------- Stephens Group, Inc. 860,400 Jackson T. Stephens Trust One 24,200 Bess C. Stephens Trust UID 1/4/85 37,800 Warren & Harriet Stephens Children's Trust 20,700 Harriet Calhoun Stephens Trust UID 3/22/84 5,200 Elizabeth Ann Stephens Campbell Revocable Trust 76,100 W.R. Stephens Jr. Revocable Trust 91,100 Jackson T. Stephens Grandchildren's Trust AAAA 123,100 Pamela Diane Stephens Trust One UID 4/10/92 91,700 Warren Miles Amerine Stephens Trust UID 9/10/86 10,000 John Calhoun Stephens Trust UID 12/1/87 10,000 Laura Whitaker Stephens Trust UID 12/28/90 10,000 Coral Two Corporation 35,900 Coral Partners 23,500 Jon E.M. Jacoby 23,500 Jacoby Enterprises, Inc. 52,300 J&J Partners 13,100 Doug Martin 17,000 Warren A. Stephens Trust UID 9/30/87 15,000
36 CUSIP No. 739308 10 4 Page 36 of 40 Pages (e) The table below discloses the sale of shares of Power-One common stock in the September 15, 1999 public offering by persons who may comprise a group with any of the Reporting Persons within the meaning of Rule 13-d(3) of the Exchange Act. The persons listed below expressly disclaim membership in any group pursuant to Regulation 13D.
Name Number of Shares - ---- ---------------- Grandchild's Trust One UID 12/16/85 9,800 Grandchild's Trust Two UID 12/16/85 9,800 Grandchild's Trust Three UID 12/89 9,800 Susan Stephens Campbell 1995 Trust UID 12/16/85 7,500 Craig D. Campbell, Jr. 1995 Trust UID 12/4/95 7,500 Elizabeth Chisum Campbell 1995 Trust UID 12/4/95 7,500 W.R. Stephens, Jr. Children's Trust UID 3/1/95 7,500
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Item 6 is hereby amended by deleting the previous subsection (b) under Item 6 and replacing it in its entirety with the following: (b) Prior to the creation of the voting trust, Jackson T. Stephens Trust No. One assigned the economic interest in 10,000 shares of the common stock to one individual and in 15,000 shares of the common stock to another individual. 20,000 of such shares have been sold. Prior to the creation of the voting trust, Warren A. Stephens Trust and Harriet C. Stephens Trust assigned the economic interest in a total of 95,000 shares of the common stock to a total of seven individuals, including several family members. 27,360 of such shares have been sold, and the economic interest in 8,000 of such shares has been reacquired. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS (a) Amendment to Assignment of Economic Interest (b) Agreement to File Joint Schedule 13D 37 CUSIP No. 739308 10 4 Page 37 of 40 Pages SIGNATURES 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. STEPHENS GROUP, INC. By: /s/ JACKSON T. STEPHENS -------------------------------------- Jackson T. Stephens Chairman of the Board of Directors JACKSON T. STEPHENS TRUST NO. ONE By: /s/ JACKSON T. STEPHENS -------------------------------------- Jackson T. Stephens, Trustee By: /s/ WARREN A. STEPHENS -------------------------------------- Warren A. Stephens, Trustee BESS C. STEPHENS TRUST By: /s/ BESS C. STEPHENS -------------------------------------- Bess C. Stephens, Trustee By: /s/ JACKSON T. STEPHENS -------------------------------------- Jackson T. Stephens, Trustee By: /s/ VERNON J. GISS -------------------------------------- Vernon J. Giss, Trustee WARREN A. STEPHENS TRUST By: /s/ WARREN A. STEPHENS -------------------------------------- Warren A. Stephens, Trustee WARREN & HARRIET STEPHENS CHILDREN'S TRUST By: /s/ JON E.M. JACOBY -------------------------------------- Jon E.M. Jacoby, Trustee 38 CUSIP No. 739308 10 4 Page 38 of 40 Pages HARRIET CALHOUN STEPHENS TRUST By: /s/ HARRIET C. STEPHENS -------------------------------------- Harriet C. Stephens, Trustee ELIZABETH ANN STEPHENS CAMPBELL REVOCABLE TRUST By: /s/ ELIZABETH STEPHENS CAMPBELL -------------------------------------- Elizabeth Stephens Campbell, Trustee W. R. STEPHENS, JR. REVOCABLE TRUST By: /s/ WILTON R. STEPHENS, JR. -------------------------------------- Wilton R. Stephens, Jr., Trustee JACKSON T. STEPHENS GRANDCHILDRENS TRUST AAAA By: /s/ JON E.M. JACOBY -------------------------------------- Jon E.M. Jacoby, Trustee PAMELA DIANE STEPHENS TRUST ONE By: /s/ BESS C. STEPHENS -------------------------------------- Bess C. Stephens, Trustee By: /s/ ELIZABETH STEPHENS CAMPBELL -------------------------------------- Elizabeth Stephens Campbell, Trustee By: /s/ WILTON R. STEPHENS, JR. -------------------------------------- Wilton R. Stephens, Jr., Trustee By: /s/ PAMELA DIANE STEPHENS -------------------------------------- Pamela Diane Stephens, Trustee 39 CUSIP No. 739308 10 4 Page 39 of 40 Pages WARREN MILES AMERINE STEPHENS TRUST By: /s/ WARREN A. STEPHENS -------------------------------------- Warren A. Stephens, Trustee JOHN CALHOUN STEPHENS TRUST By: /s/ WARREN A. STEPHENS -------------------------------------- Warren A. Stephens, Trustee LAURA WHITAKER STEPHENS TRUST By: /s/ WARREN A. STEPHENS -------------------------------------- Warren A. Stephens, Trustee J&J PARTNERS By: /s/ JON E.M. JACOBY -------------------------------------- Jon E.M. Jacoby, Managing Partner JACOBY ENTERPRISES, INC. By: /s/ JON E.M. JACOBY -------------------------------------- Jon E.M. Jacoby, President CORAL TWO CORPORATION By: /s/ JON E.M. JACOBY -------------------------------------- Jon E.M. Jacoby, President CORAL PARTNERS By: /s/ WARREN A. STEPHENS -------------------------------------- Warren A. Stephens, Partner By: /s/ JON E.M. JACOBY -------------------------------------- Jon E.M. Jacoby, Partner 40 CUSIP No. 739308 10 4 Page 40 of 40 Pages BRADBURY ENTERPRISES By: /s/ CURTIS F. BRADBURY, JR. -------------------------------------- Curtis F. Bradbury, Jr., Partner /s/ DOUGLAS H. MARTIN -------------------------------------- Douglas H. Martin /s/ CURTIS F. BRADBURY, JR. -------------------------------------- Curtis F. Bradbury, Jr. /s/ JACKSON T. STEPHENS -------------------------------------- Jackson T. Stephens /s/ WARREN A. STEPHENS -------------------------------------- Warren A. Stephens /s/ BESS C. STEPHENS -------------------------------------- Bess C. Stephens /s/ VERNON J. GISS -------------------------------------- Vernon J. Giss /s/ JON E.M. JACOBY -------------------------------------- Jon E.M. Jacoby /s/ HARRIET C. STEPHENS -------------------------------------- Harriet C. Stephens /s/ ELIZABETH STEPHENS CAMPBELL -------------------------------------- Elizabeth Stephens Campbell /s/ WILTON R. STEPHENS, JR. -------------------------------------- Wilton R. Stephens, Jr. /s/ PAMELA DIANE STEPHENS -------------------------------------- Pamela Diane Stephens /s/ JAMES SOMMERS -------------------------------------- James Sommers, trustee pursuant to Voting Trust Agreement dated as of June 8, 1998 41 CUSIP No. 739308 10 4 Page 1 of 1 Page AMENDMENT TO ASSIGNMENT OF ECONOMIC INTEREST For and in consideration of five thousand, one hundred and twenty five dollars ($5,125.00), the receipt and sufficiency of which is hereby acknowledged by the undersigned, Earsie Carter ("Assignee"). Assignee does hereby sell, reassign and reconvey to Warren A. Stephens Trust all of its right, title and interest in and to 500 shares of common stock of Power-One, Inc., a Delaware corporation. The 500 shares being reconveyed hereby comprise a portion of the 5,000 shares of Power-One, Inc. common stock assigned to Assignee pursuant to that certain Assignment of Economic Interest (the "Assignment"), dated March 7, 1996 from Warren A. Stephens Trust as Assignor to Assignee. The Assignment is hereby amended to reduce the number of shares of Power-One, Inc. common stock subject to the Assignment, following the reconveyance contemplated by this Amendment from 5,000 to 0 shares. IN WITNESS WHEREOF, the Assignee and the Warren A. Stephens Trust have executed and delivered this Amendment to Assignment of Economic Interest as of January 13, 1999. UNDERSIGNED: ASSIGNEE: /s/ EARSIE CARTER -------------------------------------- Earsie Carter, Individually WARREN A. STEPHENS TRUST By: /s/ WARREN A. STEPHENS ----------------------------------- Warren A. Stephens, Trustee 42 CUSIP No. 739308 10 4 Page 1 of 4 Pages JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) of Regulation 13D of the Securities Exchange Act of 1934, as amended, the persons or entities below agree to the joint filing on behalf of each of them of this statement on Schedule 13D (including any and all amendments thereto) with respect to the Common Stock of Power-One, Inc. and further agree that this Joint Filing Agreement be included as an Exhibit to such joint filings. In evidence thereof the undersigned, being duly authorized, hereby execute this Agreement as of the 28th day of October, 1999. STEPHENS GROUP, INC. By: /s/ JACKSON T. STEPHENS ----------------------------------- Jackson T. Stephens Chairman of the Board of Directors JACKSON T. STEPHENS TRUST NO. ONE By: /s/ JACKSON T. STEPHENS ----------------------------------- Jackson T. Stephens, Trustee By: /s/ WARREN A. STEPHENS ----------------------------------- Warren A. Stephens, Trustee BESS C. STEPHENS TRUST By: /s/ BESS C. STEPHENS ----------------------------------- Bess C. Stephens, Trustee By: /s/ JACKSON T. STEPHENS ----------------------------------- Jackson T. Stephens, Trustee By: /s/ VERNON J. GISS ----------------------------------- Vernon J. Giss, Trustee WARREN A. STEPHENS TRUST By: /s/ WARREN A. STEPHENS ----------------------------------- Warren A. Stephens, Trustee 43 CUSIP No. 739308 10 4 Page 2 of 4 Pages WARREN & HARRIET STEPHENS CHILDREN'S TRUST By: /s/ JON E.M. JACOBY ----------------------------------- Jon E.M. Jacoby, Trustee HARRIET CALHOUN STEPHENS TRUST By: /s/ HARRIET C. STEPHENS ----------------------------------- Harriet C. Stephens, Trustee ELIZABETH ANN STEPHENS CAMPBELL REVOCABLE TRUST By: /s/ ELIZABETH STEPHENS CAMPBELL ----------------------------------- Elizabeth Stephens Campbell, Trustee W. R. STEPHENS, JR. REVOCABLE TRUST By: /s/ WILTON R. STEPHENS, JR. ----------------------------------- Wilton R. Stephens, Jr., Trustee JACKSON T. STEPHENS GRANDCHILDRENS TRUST AAAA By: /s/ JON E.M. JACOBY ----------------------------------- Jon E.M. Jacoby, Trustee PAMELA DIANE STEPHENS TRUST ONE By: /s/ BESS C. STEPHENS ----------------------------------- Bess C. Stephens, Trustee By: /s/ ELIZABETH STEPHENS CAMPBELL ----------------------------------- Elizabeth Stephens Campbell, Trustee By: /s/ WILTON R. STEPHENS, JR. ----------------------------------- Wilton R. Stephens, Jr., Trustee By: /s/ PAMELA DIANE STEPHENS ----------------------------------- Pamela Diane Stephens, Trustee 44 CUSIP No. 739308 10 4 Page 3 of 4 Pages WARREN MILES AMERINE STEPHENS TRUST By: /s/ WARREN A. STEPHENS ----------------------------------- Warren A. Stephens, Trustee JOHN CALHOUN STEPHENS TRUST By: /s/ WARREN A. STEPHENS ----------------------------------- Warren A. Stephens, Trustee LAURA WHITAKER STEPHENS TRUST By: /s/ WARREN A. STEPHENS ----------------------------------- Warren A. Stephens, Trustee J&J PARTNERS By: /s/ JON E.M. JACOBY ----------------------------------- Jon E.M. Jacoby, Managing Partner JACOBY ENTERPRISES, INC. By: /s/ JON E.M. JACOBY ----------------------------------- Jon E.M. Jacoby, President CORAL TWO CORPORATION By: /s/ JON E.M. JACOBY ----------------------------------- Jon E.M. Jacoby, President CORAL PARTNERS By: /s/ WARREN A. STEPHENS ----------------------------------- Warren A. Stephens, Partner By: /s/ JON E.M. JACOBY ----------------------------------- Jon E.M. Jacoby, General Partner 45 CUSIP No. 739308 10 4 Page 4 of 4 Pages BRADBURY ENTERPRISES By: /s/ CURTIS F. BRADBURY ----------------------------------- Curtis F. Bradbury, Jr., Partner /s/ DOUGLAS H. MARTIN --------------------------------------- Douglas H. Martin /s/ CURTIS F. BRADBURY, JR. --------------------------------------- Curtis F. Bradbury, Jr. /s/ JACKSON T. STEPHENS --------------------------------------- Jackson T. Stephens /s/ WARREN A. STEPHENS --------------------------------------- Warren A. Stephens /s/ BESS C. STEPHENS --------------------------------------- Bess C. Stephens /s/ VERNON J. GISS --------------------------------------- Vernon J. Giss /s/ JON E.M. JACOBY --------------------------------------- Jon E.M. Jacoby /s/ HARRIET C. STEPHENS --------------------------------------- Harriet C. Stephens /s/ ELIZABETH STEPHENS CAMPBELL --------------------------------------- Elizabeth Stephens Campbell /s/ WILTON R. STEPHENS, JR. --------------------------------------- Wilton R. Stephens, Jr. /s/ PAMELA DIANE STEPHENS --------------------------------------- Pamela Diane Stephens /s/ JAMES SOMMERS --------------------------------------- James Sommers, trustee pursuant to Voting Trust Agreement dated as of June 8, 1998 -----END PRIVACY-ENHANCED MESSAGE-----