-----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, U7iC7D/Up6QJbgOiarXdMC7UYn6E5Nox+wMghBLWhc1a7Lx3CNSvteOUAqZX0yfK cbQxBlOFPMNu0ClujESzaw== 0000036121-97-000013.txt : 19970222 0000036121-97-000013.hdr.sgml : 19970222 ACCESSION NUMBER: 0000036121-97-000013 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WAXMAN INDUSTRIES INC CENTRAL INDEX KEY: 0000105096 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-HARDWARE & PLUMBING & HEATING EQUIPMENT & SUPPLIES [5070] IRS NUMBER: 340899894 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-10603 FILM NUMBER: 97530646 BUSINESS ADDRESS: STREET 1: 24460 AURORA RD CITY: BEDFORD HEIGHTS STATE: OH ZIP: 44146 BUSINESS PHONE: 2164391830 MAIL ADDRESS: STREET 1: 24460 AURORA ROAD CITY: BEDFORD HEIGHTS STATE: OH ZIP: 44146 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CREDIT SUISSE FIRST BOSTON INC CENTRAL INDEX KEY: 0000036121 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 132853402 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 55 E 52ND ST STREET 2: PARK AVE PLZ CITY: NEW YORK STATE: NY ZIP: 10055 BUSINESS PHONE: 2129092000 MAIL ADDRESS: STREET 1: 55 E 52ND ST CITY: NEW YORK STATE: NY ZIP: 10055-0186 FORMER COMPANY: FORMER CONFORMED NAME: CS FIRST BOSTON INC DATE OF NAME CHANGE: 19931118 FORMER COMPANY: FORMER CONFORMED NAME: CS FIRST BOSTON GROUP INC/DE DATE OF NAME CHANGE: 19931029 SC 13G 1 OMB APPROVAL UNITED STATES OMB Number: 3235-0145 SECURITIES AND EXCHANGE COMMISSION Expires: Washington, D.C. 20549 Estimated average burden hours per response . . . 14.90 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _____________)* Waxman Industries (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 944124106 (CUSIP Number) Check the following box if a fee is being paid with this statement X . (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SEC 1745 (2/92) CUSIP No. 944124106 13G Page 2 of 5 Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CREDIT SUISSE FIRST BOSTON, INC. 13-2853402 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) X 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF 5 SOLE VOTING POWER 550,000 Shares Common Stock, par value $0.01 SHARES BENEFICIALLY OWNED BY EACH 6 SHARED VOTING POWER - -0- REPORTING PERSON WITH 7 SOLE DISPOSITIVE POWER 550,000 Shares Common Stock, par value $0.01 8 SHARED DISPOSITIVE POWER - -0- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 550,000 Shares Common Stock, par value $0.01 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% 12 TYPE OF REPORTING PERSON* HC *SEE INSTRUCTION BEFORE FILLING OUT! Item 1. (a) Name of Issuer: Waxman Industries (b) Address of Issuer's Principal Executive Offices: 24460 Aurora Road, Bedford Heights, OH 44146 Item 2. (a) Name of Person Filing: CREDIT SUISSE FIRST BOSTON, INC. (b) Address of Principal Business Office: 11 Madison Avenue, New York, NY 10010 (c) Citizenship: Delaware (d) Title of Class of Securities: Common Stock, par value $0.01 (e) CUSIP Number: 944124106 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d- 2(b), check whether the person filing is a: (a) Broker or Dealer registered under Section 15 of the Act (b) Bank as defined in Section 3(a)(6) of the Act (c) Insurance Company as defined in Section 3(a)(19) of the Act (d) Investment Company registered under Section 8 of the Investment Company Act (e) Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (f) Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see 240.13d- 1(b)(1)(ii)(F) (g) X Parent Holding Company, in accordance with 240.13d- 1(b)(ii)(G) (Note: See Item 7) (h) Group, in accordance with 240.13d-1(b)(1)(ii)(H) Item 4. Ownership* (a) Amount Beneficially Owned: 550,000 Shares Common Stock, par value $0.01 (b) Percent of Class: 5.7% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 550,000 Shares Common Stock, par value $0.01 (ii) shared power to vote or to direct the vote: - -0- (iii) sole power to dispose or to direct the disposition of: 550,000 Shares Common Stock, par value $0.01 (iv) shared power to dispose or to direct the disposition of: - -0- Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following . Item 6. Ownership of More than Five Percent on Behalf of Another Person Other than as disclosed herein, the reporting person knows of no other person who has the right to receive or the power to direct the receipt or the power to direct the receipt of dividends from, or the proceeds from the sale of, the securities covered by this Schedule 13G. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Credit Suisse First Boston, Inc. has filed this schedule pursuant to Rule 13d-1(b)(ii)(G) as a parent holding company and beneficially owns the securities covered by this schedule indirectly through its wholly-owned subsidiary, Credit Suisse First Boston Corporation, a broker-dealer registered under Section 15 of the Securities Exchange Act of 1934. Item 8. Identification and Classification of Members of the Group N/A Item 9. Notice of Dissolution of Group N/A Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. 2/13/97 Date CREDIT SUISSE FIRST BOSTON, INC. Lori M. Russo Corporate Secretary * The ultimate parent company of Credit Suisse First Boston, Inc. (formerly known as CS First Boston, Inc.) ("CSFBI) is Credit Suisse Group (formerly known as CS Holding) ("CSG"). CSG, for purposes of federal securities laws, may be deemed ultimately to control CSFBI. CSG, its executive officers and directors and its direct and indirect subsidiaries, in addition to CSFBI, may beneficially own shares of the issuer and such shares are not reported in this statement. CSG disclaims beneficial ownership of shares beneficially owned by its direct and indirect subsidiaries, including CSFBI. Effective January 1, 1997, CSG reorganized its corporate structure. Pursuant to the reorganization, a direct Swiss bank subsidiary of CSG, Credit Suisse First Boston (formerly known as Credit Suisse), became the sole shareholder of CSFBI. 70340064.CPY1 Page 4 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----