-----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, Rn2YPUbzXbG4pK4cM2t3cGqEWc1cnUz1yinqW14vAZsHAqLQHZ/fCsoz6eFtlNmt Pqidv4kufnDC0FylfjDiGQ== 0000909518-07-000111.txt : 20070214 0000909518-07-000111.hdr.sgml : 20070214 20070214142524 ACCESSION NUMBER: 0000909518-07-000111 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 GROUP MEMBERS: GENDAL, STEVEN K. GROUP MEMBERS: GREENHAUS, SHELLEY F. GROUP MEMBERS: STRUMWASSER, DAVID A. FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WHIPPOORWILL ASSOCIATES INC CENTRAL INDEX KEY: 0001197259 IRS NUMBER: 133595884 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 11 MARTINS AVE CITY: WHITE PLAINS STATE: NY ZIP: 10606 BUSINESS PHONE: 9146831002 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ONEIDA LTD CENTRAL INDEX KEY: 0000074585 STANDARD INDUSTRIAL CLASSIFICATION: JEWELRY, SILVERWARE & PLATED WARE [3910] IRS NUMBER: 150405700 STATE OF INCORPORATION: NY FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-07119 FILM NUMBER: 07618295 BUSINESS ADDRESS: STREET 1: C/O INTERNAL AUDITOR STREET 2: 163 -181 KENWOOD AVE CITY: ONEIDA STATE: NY ZIP: 13421 BUSINESS PHONE: 3153613636 MAIL ADDRESS: STREET 1: 163-181 KENWOOD AVENUE CITY: ONEIDA STATE: NY ZIP: 13421 FORMER COMPANY: FORMER CONFORMED NAME: ONEIDA COMMUNITY LTD DATE OF NAME CHANGE: 19680724 SC 13G/A 1 mm02-0607_oneida13ga1.txt AMEND. NO. 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13D-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(B), (C) AND (D) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2 (AMENDMENT NO. 1)* ONEIDA, LTD. -------------------------------------------------------------- (Name of Issuer) Common Stock, par value $1.00 per share -------------------------------------------------------------- (Title of Class of Securities) 682505102 ------------------------------ (CUSIP Number) December 31, 2006 -------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |X| Rule 13d-1(b) |_| Rule 13d-1(c) |_| Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures 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). CUSIP No. 682505102 13G Page 2 of 9 pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Whippoorwill Associates, Incorporated I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware, USA - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 (see Item 4(c)) EACH ------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 (see Item 4(c)) - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (see Item 4(c)) - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% (see Item 4(b)) - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IA; CO - ------------------------------------------------------------------------------- CUSIP No. 682505102 13G Page 3 of 9 pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Shelley F. Greenhaus I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 (see Item 4(c)) EACH ------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 (see Item 4(c)) - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (see Item 4(c)) - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% (see Item 4(b)) - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN; HC - ------------------------------------------------------------------------------- CUSIP No. 682505102 13G Page 4 of 9 pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON David A. Strumwasser I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 (see Item 4(c)) EACH ------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 (see Item 4(c)) - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (see Item 4(c)) - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% (see Item 4(b)) - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN; HC - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 682505102 13G Page 5 of 9 pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Steven K. Gendal I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 (see Item 4(c)) EACH ------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 (see Item 4(c)) - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 (see Item 4(c)) - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% (see Item 4(b)) - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN; HC - ------------------------------------------------------------------------------- This statement on Schedule 13G (this "Statement") is being filed by Whippoorwill Associates, Incorporated ("Whippoorwill") and relates to the shares of Common Stock, par value $1.00 per share (the "Common Shares"), of Oneida, Ltd., a New York corporation (the "Issuer"). ITEM 1(A). NAME OF ISSUER: Oneida, Ltd. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 163-181 Kenwood Avenue Oneida, New York, 13421-2899 ITEM 2(A). NAME OF PERSON FILING: Whippoorwill Associates, Incorporated; Shelley F. Greenhaus ("Mr. Greenhaus"), as Principal and President of Whippoorwill; David A. Strumwasser ("Mr. Strumwasser"), as Principal of Whippoorwill; and Steven K. Gendal ("Mr. Gendal"), as Principal of Whippoorwill. ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The principal business address of Whippoorwill is 11 Martine Avenue, White Plains, New York 10606. The principal business address of Messrs. Greenhaus, Strumwasser and Gendal is c/o Whippoorwill. ITEM 2(C). CITIZENSHIP: Whippoorwill - Delaware Mr. Greenhaus - United States Mr. Strumwasser - United States Mr. Gendal - United States ITEM 2(D). TITLE OF CLASS OF SECURITIES: Common Stock, par value $1.00 per share, with attached Preferred Stock Purchase Rights ITEM 2(E). CUSIP 682505102 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B) OR 13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: (a) [_] Broker or dealer registered under Section 15 of the Exchange Act. (b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [_] Investment company registered under Section 8 of the Investment Company Act. (e) [X] An investment adviser in accordance with Rule 13d-1(b)(1)(ii) (E); [Whippoorwill] (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); 6 (g) [X] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); [Messrs. Greenhaus, Strumwasser and Gendal] (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). ITEM 4. OWNERSHIP. ITEM 4(A): AMOUNT BENEFICIALLY OWNED: As of December 31, 2006, Whippoorwill may be deemed to be the beneficial owner of 0 Common Shares. As of December 31, 2006, Messrs. Greenhaus, Strumwasser and Gendal may each be deemed to be the beneficial owner of 0 Common Shares. Mr. Greenhaus is the President and a Principal of Whippoorwill. Each of Messrs. Strumwasser and Gendal is a Principal of Whippoorwill. ITEM 4(B): PERCENT OF CLASS: 0%. ITEM 4(C): Number of shares as to which Whippoorwill has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: 0 (See Item 4(a)) (iii)sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 0 (See Item 4(a)) Number of shares as to which Mr. Greenhaus has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: 0 (See Item 4(a)) (iii)sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 0 (See Item 4(a)) Number of shares as to which Mr. Strumwasser has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: 0 (See Item 4(a)) (iii)sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 0 (See Item 4(a)) 7 Number of shares as to which Mr. Gendal has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: 0 (See Item 4(a)) (iii)sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 0 (See Item 4(a)) ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following |X|. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. N/A ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. See Item 4(a) regarding Messrs. Greenhaus, Strumwasser and Gendal. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. N/A ITEM 9. NOTICE OF DISSOLUTION OF GROUP. N/A ITEM 10. CERTIFICATION. (a) By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. (b) N/A 8 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 14, 2007 WHIPPOORWILL ASSOCIATES, INCORPORATED By: /s/ SHELLEY F. GREENHAUS --------------------------------------- Name: Shelley F. Greenhaus Title: President Date: February 14, 2007 By: /s/ SHELLEY F. GREENHAUS --------------------------------------- Name: Shelley F. Greenhaus Date: February 14, 2007 By: /s/ DAVID A. STRUMWASSER --------------------------------------- Name: David A. Strumwasser Date: February 14, 2007 By: /s/ STEVEN K. GENDAL --------------------------------------- Name: Steven K. Gendal 9 -----END PRIVACY-ENHANCED MESSAGE-----