-----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, DLTgJOZIyhwRIwQnBXE1fdXB/bI3Qfn3vO0UkwOscMWbV+EL94ouiPu5ai8SZeGH joD4B06/DvPdJ9KZ5gEizA== 0000950137-98-000850.txt : 19980304 0000950137-98-000850.hdr.sgml : 19980304 ACCESSION NUMBER: 0000950137-98-000850 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980303 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALBERTO CULVER CO CENTRAL INDEX KEY: 0000003327 STANDARD INDUSTRIAL CLASSIFICATION: PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS [2844] IRS NUMBER: 362257936 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-10375 FILM NUMBER: 98556789 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: EISENBERG MARSHALL E CENTRAL INDEX KEY: 0001056938 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: TWO NORTH LASALLE STREET CITY: CHICAGO STATE: IL ZIP: 60602 BUSINESS PHONE: 3122698020 MAIL ADDRESS: STREET 1: TWO NORTH LASALLE STREET CITY: CHICAGO STATE: IL ZIP: 60602 SC 13D 1 SCHEDULE 13D 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. _____________)* 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, Esq. Neal, Gerber & Eisenberg Two North LaSalle Street Suite 2200 Chicago, Illinois 60602 ________________________________________________________________________________ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 21, 1998 ___________________________________ (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ] . NOTE: Six copies of this Statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) 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 disclosure 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 2 - -------------------- ----------------- CUSIP NO. 013068200 13D Page 2 of 5 Pages - -------------------- ----------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Marshall E. Eisenberg, not individually but solely as co-trustee of Carol L. Bernick Grantor Annuity Trust, u/a/d 9/15/93 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS * Not applicable. - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER ------------------------------------------------------------- 8 SHARED VOTING POWER OF SHARES 1,595,591** BENEFICIALLY ------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH 0 ------------------------------------------------------------- REPORTING 10 SHARED DISPOSITIVE POWER PERSON 1,595,591** WITH - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,595,591** - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11). 6.34%** - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON * IN - -------------------------------------------------------------------------------- **Consists of shares of the Company's Class B common stock which are immediately convertible at the option of the Reporting Person, as co-trustee, on a share for share basis into shares of the Company's Class A common stock. * SEE INSTRUCTIONS BEFORE FILLING OUT! 3 ITEM 1. SECURITIES 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 (the "Company") 2525 Armitage Avenue Melrose Park, IL 60160 ITEM 2. IDENTITY AND BACKGROUND. (a) Name of Person Filing: Marshall E. Eisenberg, not individually but solely as co-trustee of the Carol L. Bernick Grantor Annuity Trust, u/a/d 9/15/93 (the "Trust") (b) Address: c/o Neal, Gerber & Eisenberg Two North LaSalle Street, Suite 2200 Chicago, Illinois 60602 (c) Principal Business: Mr. Eisenberg, an individual, is a partner in the law firm of Neal, Gerber & Eisenberg, Chicago, Illinois (d) Prior Criminal Convictions: None (e) Prior Civil Proceedings With Respect to Federal or State Securities Law: None (f) Place or Organization U.S. Citizen ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. On February 21, 1998, Mr. Eisenberg, not individually but solely as co-trustee together with Carol L. Bernick ("Bernick") of the Trust, received by transfer 264,307 shares of the Company's Class B common stock, par value $.22 per share (the "Class B Shares") from Bernick as co-trustee of the Leonard H. Lavin February 1996 Grantor Annuity Trust, u/a/d 2/21/96, f/b/o Leonard H. Lavin, Bernick's father. Also, on February 21, 1998, Mr. Eisenberg, not individually but solely as co-trustee together with Bernick of the Trust, received by transfer 264,306 Class B shares from Bernick as co-trustee of the Bernice E. Lavin February 1996 Grantor Annuity Trust, u/a/d 2/21/96, f/b/o Bernice E. Lavin, Bernick's mother. ITEM 4. PURPOSE OF TRANSACTION. Transfer of securities were for the Lavin family's estate planning rather than corporate purposes. The transfers were not undertaken for purposes of effecting any of the actions listed in this item. Page 3 of 5 4 ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a)(i) Amount of Class A Shares Beneficially Owned. 1,595,591 Class B shares beneficially owned as co-trustee of the Trust. (ii) Percentage of Class A Shares Beneficially Owned: 6.39% as co-trustee of the Trust (based upon 23,379,245 Class A shares outstanding as of February 2, 1998). **Pursuant to Rule 13d-3(d)(l)(i) of the Securities Exchange Act of 1934, as amended, the following calculations assume that all Class B shares beneficially owned by Mr. Eisenberg, not individually, but solely as co-trustee of the Trust, have been converted into Class A shares. (b) Mr. Eisenberg shares the power to vote and dispose of the 1,595,591 Class B shares in the Trust with Carol L. Bernick. Certain information regarding Mrs. Bernick is presented below: (i)Name of Person: Carol L. Bernick (ii)Address: 2525 Armitage Avenue Melrose Park, Illinois 60160 (iii)Principal Business: Carol L. Bernick, an individual, is a Director and Executive Vice President and Assistant Secretary of the Company and President of Alberto-Culver USA, Inc., a subsidiary of the Company. (iv)Prior Criminal Convictions: None. (v)Prior Civil Proceedings With Respect to Federal or State Securities Laws: None. (vi)Place of Organization: U.S. Citizen. (c) None, except as described in Item 3 above. (d) None. (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. None. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. None. Page 4 of 5 5 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: March 3, 1998 Signature: /s/ Marshall E. Eisenberg ----------------------------------------- Name/Title: Marshall E. Eisenberg, not individually but solely as co-trustee of the Trust Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----