-----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, LVnpUU/DH9Natf+rkn+H0w3y3gLwpgcdkkcnq4arlm/iylMdvh5WgrUxRY9jWodT 3lRBrJG+yT2Y+wgS+EN/0g== 0001140753-02-000005.txt : 20020414 0001140753-02-000005.hdr.sgml : 20020414 ACCESSION NUMBER: 0001140753-02-000005 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DUCKWALL ALCO STORES INC CENTRAL INDEX KEY: 0000030302 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-VARIETY STORES [5331] IRS NUMBER: 480201080 STATE OF INCORPORATION: KS FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-36321 FILM NUMBER: 02540222 BUSINESS ADDRESS: STREET 1: 401 COTTAGE STREET CITY: ABILENE STATE: KS ZIP: 67410-0129 BUSINESS PHONE: 9132633350 MAIL ADDRESS: STREET 1: DUCKWALL ALCO STORES INC STREET 2: 401 COTTAGE CITY: ABILENE STATE: KS ZIP: 67410 FORMER COMPANY: FORMER CONFORMED NAME: DUCKWALL STORES INC DATE OF NAME CHANGE: 19781020 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERNO GAMBAL & BARBEE INC CENTRAL INDEX KEY: 0001140753 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1100 NORTH GLEBE ROAD STREET 2: SUITE 1040 CITY: ARLINGTON STATE: VA ZIP: 22201-7788 BUSINESS PHONE: 7035287788 MAIL ADDRESS: STREET 1: 1100 NORTH GLEBE ROAD STREET 2: SUITE 1040 CITY: ARLINGTON STATE: VA ZIP: 22201-7788 SC 13G 1 duck13g01.txt DUCKWALL 13G AS OF 12/31/01 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* DUCKWALL-ALCO STORES, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 264142100 (CUSIP Number) *The remainder of this cover 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 subsquenent 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). 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BERNO, GAMBAL & BARBEE, INC. 54-1712996 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) X 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S., a Delaware corporation NUMBER OF 5. SOLE VOTING POWER 140,000 SHARES BENEFICIALLY 6. SHARED VOTING POWER - OWNED BY EACH 7. SOLE DISPOSITIVE POWER 213,425 REPORTING PERSON WITH 8. SHARED DISPOSITIVE POWER - 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 213,425 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.1% 12. TYPE OF REPORTING PERSON IA Cusip No. 264142100 13G Page 2 of 3 Pages Schedule 13G Additional Information Item # 1. (a) Name of Issuer: DUCKWALL-ALCO STORES, INC. (b) Address of Issuer's Principal Executive Offices: 401 COTTAGE STREET ABILENE, KS 67410 2. (a) Name of Person Filing: BERNO, GAMBAL & BARBEE, INC. (b) Address of Principal Business Office for Each of the Above: 1100 NORTH GLEBE ROAD, SUITE 1040 ARLINGTON, VA 22201 (c) Citizenship: U.S., a Delaware corporation (d) Title of Class of Securities: COMMON STOCK (e) CUSIP Number: 264142100 3. This statement is filed pursuant to Rule 13d-1(b), or 13d-2(b). 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) [x] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provsions of the Employee Retirement Income Security Act of 1974 or Endowment Fund (g) [ ] 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) 4. Ownership: (a) Amount Beneficially Owned: 213,425 (b) Percent of Class: 5.1% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 140,000 (ii) shared power to vote or to direct the vote - (iii) sole power to dispose or to direct the disposition of 213,425 (iv) shared power to dispose or to direct the disposition of - 5. Ownership of Five Percent or Less of a Class: N/A CUSIP NO. 264142100 13G Page 3 of 3 Pages Schedule 13G Additional Information (continued) Item # 6. Ownership of More than Five Percent on Behalf of Another Person: The securities referred to in this Schedule are held for the accounts of clients of the Adviser, who have the right to receive dividends from and the proceeds of the sale of such securities. No such person's rights, however, relate to more than 5% of the class. 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: N/A 8. Identification and Classification of Members of the Group: N/A 9. Notice of Dissolution of Group: N/A 10. Certification: By signing below, the undersigned certify that, to the best of their knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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 11, 2002 Signature: By /s/ William S. Berno -------------------- WILLIAM S. BERNO MANAGING DIRECTOR BERNO, GAMBAL & BARBEE, INC. -----END PRIVACY-ENHANCED MESSAGE-----