-----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, UC0Uc0Ph/+ePyx0283vBtl923z4a0VQ8ZgIJcCyVpvUi1Ol3/kcW0Yd13Ne13aDc bi0VoyQYPJnSA/7m9zudPA== 0000950131-01-504064.txt : 20020410 0000950131-01-504064.hdr.sgml : 20020410 ACCESSION NUMBER: 0000950131-01-504064 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011109 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALBERTO CULVER CO CENTRAL INDEX KEY: 0000003327 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-RETAIL STORES, NEC [5990] IRS NUMBER: 362257936 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-10375 FILM NUMBER: 1780866 BUSINESS ADDRESS: STREET 1: 2525 ARMITAGE AVE CITY: MELROSE PARK STATE: IL ZIP: 60160 BUSINESS PHONE: 7084503039 MAIL ADDRESS: STREET 1: 2525 ARMITAGE AVENUE CITY: MELROSE PARK STATE: IL ZIP: 60160 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERNICK HOWARD B CENTRAL INDEX KEY: 0001027733 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1100 N WOOD DALE RD CITY: WOOD DALE STATE: IL ZIP: 60191 BUSINESS PHONE: 8474393939 MAIL ADDRESS: STREET 1: 1100 N WOOD DALE RD CITY: WOOD DALE STATE: IL ZIP: 60191 SC 13D/A 1 dsc13da.txt AMENDMENT NO. 2 TO SCHEDULE 13-D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. 2 )* -- ALBERTO-CULVER COMPANY - -------------------------------------------------------------------------------- (Name of Issuer) CLASS A COMMON STOCK, $.22 PAR VALUE PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 013068200 ----------------------------------------- (CUSIP Number) Marshall E. Eisenberg Howard B. Bernick (708) 450-3400 NEAL, GERBER & EISENBERG 2525 Armitage Avenue Two North LaSalle Street, Suite 2200 Melrose Park, Illinois 60160 Chicago, Illinois 60602 (708) 450-3051 (312) 269-8020 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 2, 2001 -------------------------------- (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 that 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 Rule 240.13d-7 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). (Continued on following page(s)) Page 1 of 5 Pages - ------------------------ ----------------- CUSIP NO. 013068200 13D Page 2 of 5 Pages - ------------------------ ----------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Howard B. Bernick - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a)[_] (b)[X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS * Not applicable. (See Item 3 below.) - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - -------------------------------------------------------------------------------- NUMBER 7 SOLE VOTING POWER OF SHARES 939,308** --------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 159,410** EACH --------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 939,308** --------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 159,410** - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,098,718** - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] Excluded are 1,046,714 Class A shares (including options exercisable within 60 days to acquire 263,844 Class A shares) and 7,014,432 Class B shares (including 8,330 Class B shares held as a participant in the Alberto Culver Employees' Profit Sharing Plan (the "Profit Sharing Plan")) which are held by Bernick's spouse (Carol L. Bernick) either directly, as trustee or co-trustee of trusts, or as a director and officer of the Lavin Family Foundation. Bernick disclaims beneficial ownership of such shares. - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11). 4.58%** - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON * IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS ** Includes shares of Class B Common Stock, $.22 par value per share ("Class B shares"), which are immediately convertible at the holder's option on a share-for-share basis into Class A shares. - ------------------- ----------------- CUSIP NO. 013068200 13D Page 3 of 5 Pages - ------------------- ----------------- Item 1. Security and Issuer. Title of Class of Securities: Class A Common Stock, $.22 par value per share (the "Class A shares") Name and Address of Issuer: Alberto-Culver Company (the "Company") 2525 Armitage Avenue Melrose Park, IL 60160 Item 2. Identity and Background. (a) Name of Person Filing: Howard B. Bernick ("Bernick") (b) Address: 2525 Armitage Avenue Melrose Park, IL 60160 (c) Principal Business: (1) Bernick, an individual, is a Director, President and Chief Executive Officer of the Company. (d) Prior Criminal Convictions: None (e) Prior Civil Proceedings With Respect to Federal or None State Securities Laws: (f) Citizenship/Organization: (1) U.S. Citizen Item 3. Source and Amount of Funds or Other Consideration. On November 2, 2001, pursuant to the terms of the Alberto-Culver Company Employee Stock Option Plan, Bernick exercised options to purchase 679,100 Class A shares and delivered 411,318 Class B shares in payment of the exercise price and applicable withholding taxes. Item 4. Purpose of Transaction. See Item 3 above. Item 5. Interest in Securities of the Issuer. (a) (i) Amount of Class A Shares Beneficially Owned: 1,098,718 shares total: 839,100 Class A shares and 88,682 Class B shares held directly; 35,000 Class A shares and 71,400 Class B shares held by the Bernick Family Foundation (a charitable foundation); 11,526 Class B shares held as a participant in the Profit Sharing Plan; and 5,100 Class A shares and 47,910 Class B shares held as one of three trustees of the Carol L. Bernick Investment Trust, u/a/d 7/7/97, fbo his children (the "Investment Trust"). (ii) Percentage of Class A Shares Beneficially Owned: 4.58% total: 3.89% directly; .45% by the Bernick Family Foundation; .05% as a participant in the Profit Sharing Plan; and .22% as co-trustee of the Investment Trust (based on 23,761,341 Class A shares outstanding as of June 30, 2001). ** ** Pursuant to Rule 13d-3(d)(1)(i) of the Securities Exchange Act of 1934, as amended, these calculations assume that all Class B shares beneficially owned by Bernick have been converted into Class A shares. - ------------------- ----------------- CUSIP NO. 013068200 13D Page 4 of 5 Pages - ------------------- ----------------- (b) Number of Shares as to Which Such Person Has: (i) Sole power to vote: 939,308 (ii) Shared power to vote: 159,410/1/ (iii) Sole power to dispose: 939,308 (iv) Shared power to dispose: 159,410/1/ An additional 1,046,714 Class A shares (including options exercisable within 60 days to acquire 263,844 Class A shares) and 7,014,432 Class B shares (including 8,330 Class B shares held as a participant in the Profit Sharing Plan) are held by Bernick's spouse either directly, as trustee or co-trustee of trusts, or as a director and officer of the Lavin Family Foundation. Bernick disclaims beneficial ownership of such shares and they are not included above. 1/ Bernick, in his capacity as co-trustee of the Investment Trust, shares the power to vote and dispose of 5,100 Class A shares and 47,910 Class B shares held by the Investment Trust with Marshall E. Eisenberg and Rachel Nisker; and Bernick shares the power to vote and dispose of 35,000 Class A shares and 71,400 Class B shares held by the Bernick Family Foundation with Carol L. Bernick and Mr. Eisenberg. Certain information regarding Mr. Eisenberg, Ms. Nisker and Mrs. Bernick is presented below: (i) Name of Person: (1) Marshall E. Eisenberg (2) Rachel Nisker (3) Carol L. Bernick (ii) Address: (1) Neal, Gerber & Eisenberg Two North LaSalle St., Suite 2200 Chicago, Illinois 60602 (2) 65 Strathearn Road Toronto, Ontario, Canada M6C1R5 (3) 2525 Armitage Avenue Melrose Park, Illinois 60160-1163 (iii) Principal Business: (1) Marshall E. Eisenberg, an individual, is an attorney and a partner in the law firm, Neal, Gerber & Eisenberg, Chicago, Illinois. (2) Rachel Nisker, an individual, is unemployed. (3) Carol L. Bernick, an individual, is a Director, Vice Chairman and Assistant Secretary of the Company, and President of Alberto-Culver North America, a division of the Company. (iv) Prior Criminal Convictions: (1-3) None. (v) Prior Civil Proceedings with Respect to Federal or State Securities Laws: (1-3) None. (vi) Citizenship: (1) U.S. Citizen (2) Canadian Citizen (3) U.S. Citizen - ------------------- ----------------- CUSIP NO. 013068200 13D Page 5 of 5 Pages - ------------------- ----------------- (c) See Item 3 above. (d) None. (e) November 2, 2001. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None. Item 7. Material to be Filed as Exhibits. None. 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: November 7, 2001 Signature: /s/ Howard B. Bernick ---------------------------------------------- Name/Title: Howard B. Bernick, individually, and as co-trustee of a trust for the benefit of his children. -----END PRIVACY-ENHANCED MESSAGE-----