-----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, SeqYfc9ku6WhH5NrLfJPI0XLcB19dqJrdOHMQtY+1bxfwYFYFkaauWfaKH2z1W5Q g2pSrr87+d7uJyXGCYoGIg== 0000950117-99-000366.txt : 19990224 0000950117-99-000366.hdr.sgml : 19990224 ACCESSION NUMBER: 0000950117-99-000366 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990223 GROUP MEMBERS: PPM AMERICA CBO II MANAGEMENT COMPANY GROUP MEMBERS: PPM AMERICA FUND MANAGEMENT GP, INC. GROUP MEMBERS: PPM AMERICA INC/IL GROUP MEMBERS: PPM AMERICA SPECIAL INVESTMENTS CBO II, L.P. GROUP MEMBERS: PPM AMERICA SPECIAL INVESTMENTS FUND, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ELDER BEERMAN STORES CORP CENTRAL INDEX KEY: 0000032020 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-DEPARTMENT STORES [5311] IRS NUMBER: 310271980 STATE OF INCORPORATION: OH FISCAL YEAR END: 0201 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-53669 FILM NUMBER: 99547269 BUSINESS ADDRESS: STREET 1: 3155 ELBEE RD CITY: DAYTON STATE: OH ZIP: 45439 BUSINESS PHONE: 9372962700 MAIL ADDRESS: STREET 1: 3155 EL BEE ROAD CITY: DAYTON STATE: OH ZIP: 45439 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PPM AMERICA INC/IL CENTRAL INDEX KEY: 0000898417 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 363714794 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 225 W WACKER DR STREET 2: STE 1200 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126342500 MAIL ADDRESS: STREET 1: 225 W WACKER DR STREET 2: SUITE 1200 CITY: CHICAGO STATE: IL ZIP: 60606 SC 13G/A 1 PPM AMERICA, INC. SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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(b) (Amendment No. 1)(1) The Elder-Beerman Stores Corp. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, no par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 284470101 - -------------------------------------------------------------------------------- (CUSIP Number) February 11, 1999 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) - -------- (1) 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 coverage 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 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. 284470101 13G PAGE 2 OF 9 PAGES ---------------------------- ---------------------------- ================================================================================ 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) PPM America Special Investments Fund, L.P.; I.D. No. 36-4086849 - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER None NUMBER OF ------------------------------------------------------------------ SHARES 6. SHARED VOTING POWER BENEFICIALLY 670,402 OWNED BY EACH ------------------------------------------------------------------ REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH None ------------------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 670,402 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 670,402 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.26% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON PN ================================================================================ -2- ---------------------------- ---------------------------- CUSIP NO. 284470101 13G PAGE 3 OF 9 PAGES ---------------------------- ---------------------------- ================================================================================ 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) PPM America Fund Management GP, Inc. - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER None NUMBER OF ------------------------------------------------------------------ SHARES 6. SHARED VOTING POWER BENEFICIALLY 670,402(2) OWNED BY EACH ------------------------------------------------------------------ REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH None ------------------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 670,402(2) - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 670,402(2) - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.26% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON CO ================================================================================ (2) All of the securities covered by this report are owned legally by PPM America Special Investments Fund, L.P., and none are owned directly or indirectly by PPM America Fund Management GP, Inc. As permitted by Rule 13d-4, the filing of this statement shall not be construed as an admission that PPM America Fund Management GP, Inc. is the beneficial owner of any of the securities covered by this statement. -3- ---------------------------- ---------------------------- CUSIP NO. 284470101 13G PAGE 4 OF 9 PAGES ---------------------------- ---------------------------- ================================================================================ 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) PPM America Special Investments CBO II, L.P.; I.D. No. 98-0179401 - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER None NUMBER OF ------------------------------------------------------------------ SHARES 6. SHARED VOTING POWER BENEFICIALLY 116,363 OWNED BY EACH ------------------------------------------------------------------ REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH None ------------------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 116,363 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 116,363 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.74% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON PN ================================================================================ -4- ---------------------------- ---------------------------- CUSIP NO. 284470101 13G PAGE 5 OF 9 PAGES ---------------------------- ---------------------------- ================================================================================ 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) PPM America CBO II Management Company - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER None NUMBER OF ------------------------------------------------------------------ SHARES 6. SHARED VOTING POWER BENEFICIALLY 116,363(3) OWNED BY EACH ------------------------------------------------------------------ REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH None ------------------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 116,363(3) - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 116,363(3) - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.74% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON CO ================================================================================ (3) All of the securities covered by this report are owned legally by PPM America Special Investments CBO II, L.P., and none are owned directly or indirectly by PPM America CBO II Management Company. As permitted by Rule 13d-4, the filing of this statement shall not be construed as an admission that PPM America CBO II Management Company is the beneficial owner of any of the securities covered by this statement. -5- ---------------------------- ---------------------------- CUSIP NO. 284470101 13G PAGE 6 OF 9 PAGES ---------------------------- ---------------------------- ================================================================================ 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) PPM America, Inc.; I.D. No. 36-3714794 - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NONE NUMBER OF ------------------------------------------------------------------ SHARES 6. SHARED VOTING POWER BENEFICIALLY 786,765(4) OWNED BY EACH ------------------------------------------------------------------ REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH NONE ------------------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 786,765(4) - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 786,765(4) - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - ------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.003% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IA ================================================================================ (4) All of the securities covered by this report are owned legally by PPM America, Inc.'s investment advisory clients and none are owned directly or indirectly by PPM America, Inc. As permitted by Rule 13d-4, the filing of this statement shall not be construed as an admission that PPM America, Inc. is the beneficial owner of any of the securities covered by this statement. -6- Item 1(a) Name of Issuer: The Elder-Beerman Stores Corp. (the "Issuer") Item 1(b) Address of Issuer's Principal Executive Offices: 3155 El-Bee Road Dayton, Ohio 45401 Item 2(a) Name of Person(s) Filing: (1) PPM America Special Investments Fund, L.P. ("SIF I") (2) PPM America Special Investments CBO II, L.P. ("CBO II") (3) PPM America, Inc. ("PPM") (4) PPM America Fund Management GP, Inc. ("SIF I GP") (5) PPM America CBO II Management Company ("CBO II GP") Item 2(b) Address of Principal Business Office: The address for SIF I, CBO II, PPM, SIF I GP and CBO II GP is: 225 West Wacker Drive, Suite 1100A Chicago, Illinois 60606 Item 2(c) Citizenship: Delaware Item 2(d) Title of Class of Securities: Common Stock, no par value (the "Securities") Item 2(e) CUSIP Number: 284470101 Item 3 If this statement is filed pursuant to Rule 13d-1(c) check this box. [X] This statement is also being filed by PPM as a registered investment adviser to SIF I and CBO II, and by SIF I GP and CBO II GP, solely in their capacity as the general partner of SIF I and CBO II, respectively. All of the securities covered by this report are owned legally by PPM's investment advisory clients and none are owned directly or indirectly by PPM, SIF I GP or CBO II GP. As permitted by Rule 13d-4, the filing of this statement shall not be construed as an admission that each of PPM, SIF I GP or CBO II GP is the beneficial owner of any of the securities covered by this statement. Item 4 Ownership: (a) Amount beneficially owned by: SIF I: 670,402 shares SIF I GP: 670,402 shares(5) CBO II: 116,363 shares CBO II GP: 116,363 shares(5) PPM: 786,765 shares(5)
(5) All of the securities covered by this report are owned legally by PPM's investment advisory clients and none are owned directly or indirectly by PPM, SIF I GP or CBO II GP. As permitted by Rule 13d-4, the filing of this statement shall not be construed as an admission that each of PPM, SIF I GP or CBO II GP is the beneficial owner of any of the securities covered by this statement. -7- (b) Percent of class by: SIF I: 4.26% SIF I GP: 4.26%(6) CBO II: 0.74% CBO II GP: 0.74%(6) PPM: 5.003%(6) (c) Number of shares to which such person has: (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote by: SIF I: 670,402 shares SIF I GP: 670,402 shares(6) CBO II: 116,363 shares CBO II GP: 116,363 shares(6) PPM: 786,765 shares(6) (iii)sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of by: SIF I: 670,402 shares SIF I GP: 670,402 shares(6) CBO II: 116,363 shares CBO II GP: 116,363 shares(6) PPM: 786,765 shares(6) (6) All of the securities covered by this report are owned legally by PPM's investment advisory clients and none are owned directly or indirectly by PPM, SIF I GP or CBO II GP. As permitted by Rule 13d-4, the filing of this statement shall not be construed as an admission that each of PPM, SIF I GP or CBO II GP is the beneficial owner of any of the securities covered by this statement. Item 5 Ownership of Five Percent or Less of a Class: Not Applicable (N/A) 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 by the Parent Holding Company: N/A Item 8 Identification and Classification of Members of the Group: N/A Item 9 Notice of Dissolution of the 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 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. 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.
-8- PPM AMERICA SPECIAL INVESTMENTS PPM AMERICA SPECIAL INVESTMENTS FUND, L.P. CBO II, L.P. By: PPM America, Inc., By: PPM America, Inc., as Attorney-in-Fact as Attorney-in-Fact By: /s/ BRIAN T. SCHINDERLE By: /s/ BRIAN T. SCHINDERLE ----------------------------- ----------------------------- Name: Brian T. Schinderle Name: Brian T. Schinderle Title: Senior Managing Director Title: Senior Managing Director PPM AMERICA FUND MANAGEMENT GP, INC. PPM AMERICA, INC. By: PPM America, Inc., By: /s/ BRIAN T. SCHINDERLE as Attorney-in-Fact ----------------------------- Name: Brian T. Schinderle By: /s/ F. JOHN STARK, III Title: Senior Managing Director --------------------------- Name: F. John Stark, III Title: Senior Vice President and Secretary PPM AMERICA CBO II MANAGEMENT COMPANY By: PPM America, Inc., as Attorney-in-Fact By: /s/ F. JOHN STARK, III ---------------------------- Name: F. John Stark, III Title: Senior Vice President and Secretary Dated: February 22, 1999 Joint Filing Agreement -------------------------- In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, the persons or entities named below agree to the joint filing on behalf of each of them of this Amendment No. 1 to Schedule 13G with respect to the Securities of the Issuer and further agree that this joint filing agreement be included as an exhibit to this Amendment No. 1 to Schedule 13G. In evidence thereof, the undersigned hereby execute this Agreement as of the 22nd day of February, 1999. PPM AMERICA SPECIAL INVESTMENTS PPM AMERICA SPECIAL INVESTMENTS FUND, L.P. CBO II, L.P. By: PPM America, Inc., By: PPM America, Inc., as Attorney-in-Fact as Attorney-in-Fact By: /s/ Brian T. Schinderle By: /s/ Brian T. Schinderle ----------------------------- ----------------------------- Name: Brian T. Schinderle Name: Brian T. Schinderle Title: Senior Managing Director Title: Senior Managing Director PPM AMERICA FUND MANAGEMENT GP, INC. PPM AMERICA, INC. By: PPM America, Inc., By: /s/ BRIAN T. SCHINDERLE as Attorney-in-Fact ----------------------------- Name: Brian T. Schinderle By: /s/ F. JOHN STARK, III Title: Senior Managing Director --------------------------- Name: F. John Stark, III Title: Senior Vice President and Secretary PPM AMERICA CBO II MANAGEMENT COMPANY By: PPM America, Inc., as Attorney-in-Fact By: /s/ F. JOHN STARK, III ---------------------------- Name: F. John Stark, III Title: Senior Vice President and Secretary -9- -----END PRIVACY-ENHANCED MESSAGE-----