-----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, EbQS2aVVBGcfG8Y/Yff2s+euHM3/mdw+le0nhQHD9+laBQUv5rv753LyJsnOSQFr Xgwpd6ESnrQbS1xVmuWQsw== 0001144204-07-027155.txt : 20070518 0001144204-07-027155.hdr.sgml : 20070518 20070518114442 ACCESSION NUMBER: 0001144204-07-027155 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070518 DATE AS OF CHANGE: 20070518 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WMS INDUSTRIES INC /DE/ CENTRAL INDEX KEY: 0000350077 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS MANUFACTURING INDUSTRIES [3990] IRS NUMBER: 362814522 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-33326 FILM NUMBER: 07863604 BUSINESS ADDRESS: STREET 1: 800 S. NORTHPOINT BLVD. CITY: WAUKEGAN STATE: IL ZIP: 60085 BUSINESS PHONE: 847-785-3000 MAIL ADDRESS: STREET 1: 800 S. NORTHPOINT BLVD. CITY: WAUKEGAN STATE: IL ZIP: 60085 FORMER COMPANY: FORMER CONFORMED NAME: WILLIAMS ELECTRONICS INC DATE OF NAME CHANGE: 19870519 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GAMACHE BRIAN R CENTRAL INDEX KEY: 0001200086 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O WMS GAMING STREET 2: 800 SOUTH NORTHPOINT BLVD CITY: WAUKEGAN STATE: IL ZIP: 60085 BUSINESS PHONE: 8477853750 SC 13D/A 1 v076016_sc13da.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D
(Amendment No. 1)
Under the Securities Exchange Act of 1934
 

 
WMS INDUSTRIES INC.
(Name of Issuer)


 
Common Stock
(Title of Class of Securities)
 

 
969-901-107
(CUSIP Number)


 
Brian R. Gamache
Chief Executive Officer
WMS Industries Inc.
800 South Northpoint Blvd.
Waukegan, Illinois 60085
(847) 785-4000
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)


 
May 8, 2007
(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 o.

1


1 NAME OF REPORTING PERSON

Mr. Brian R. Gamache

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

a o

b o

3 SEC USE ONLY _____________________________________________________

4 SOURCE OF FUNDS *

Not applicable

5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) o

6 CITIZENSHIP OR PLACE OF ORGANIZATION

Mr. Gamache is a citizen of the United States of America.

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:

7 SOLE VOTING POWER:
4,119,975      

8 SHARED VOTING POWER:
Mr. Gamache does not share voting power over any shares of the Issuer.

9 SOLE DISPOSITIVE POWER:
523,940         

10 SHARED DISPOSITIVE POWER:
Mr. Gamache does not share dispositive power over any shares of the Issuer.

11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
4,119,975        

12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: _______

2

 
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): Based on 33,005,997 shares of common stock outstanding as of May 4, 2007 as reported in the Issuer’s quarterly report for the quarter ended April 30, 2007:

12.30%

14 TYPE OF REPORTING PERSON

IN

ITEM 1: SECURITY AND ISSUER
 
This Amendment No. 1 amends the Statement on Schedule 13D previously filed with the Securities and Exchange Commission by Mr. Brian R. Gamache with respect to common stock, par value $0.50 per share of the Issuer, WMS Industries Inc., a Delaware corporation, whose principal executive office is located at 800 South Northpoint Blvd., Waukegan, Illinois 60085 as follows:
 
ITEM 3: SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION

(a)
22,486 of the shares were awarded as restricted stock by the Issuer as compensation for serving as President and Chief Executive Officer and such restrictions will lapse as to such shares on December 9, 2007;
(b)
16,600 of the shares were purchased in the open marking using Mr. Gamache’s personal funds;
(c)
484,854 of the shares are currently subject to stock options which may be exercised currently or within 60 days and such options were awarded to Mr. Gamache by the issuer as compensation for serving as President and Chief Executive Officer and a director;
(d)
504,195 of the shares are not owned by Mr. Gamache, however Mr. Gamache holds voting rights by proxy pursuant to a Voting Proxy Agreement between Ms. Phyllis Redstone, Mr. Gamache and WMS Industries (the “P. Redstone Voting Proxy Agreement”), which agreement is discussed in more detail under Item 6 below and attached hereto as Exhibit 1 under Item 7 below; and
(e)
3,091,840 of the shares are not owned by Mr. Gamache, however Mr. Gamache holds voting rights by proxy pursuant to a Voting Proxy Agreement between Mr. Sumner, Mr. Gamache and WMS Industries (the “S. Redstone Voting Proxy Agreement”), which agreement is discussed in more detail under Item 6 below and attached hereto as Exhibit 2 under Item 7 below.

ITEM 5: INTEREST IN SECURITIES OF THE ISSUER

a. Mr. Gamache is the beneficial owner of 4,119,975 shares or 12.3% of the common stock issued and outstanding of the Issuer.
 
3


b. Mr. Gamache has sole voting power over 4,119,975 (12.3%) shares and sole dispositive power over 523940 (1.56%) shares of common stock of the Issuer.

c. The Reporting Person has effected the following transactions with respect to the Shares during the past 60 days:

The following sales of Shares were made by the Sumner M. Redstone Charitable Foundation which Shares were subject to the S. Redstone Voting Proxy prior to their sale:
 
DATE
NO. SHARES
PRICE
     
05/04/07
2,700
42.53
05/04/07
1,100
42.54
05/04/07
1,400
42.56
05/04/07
600
42.60
05/04/07
200
42.61
05/04/07
3,900
42.62
05/04/07
100
42.65
05/04/07
100
42.66
05/04/07
500
42.67
05/04/07
300
42.69
05/04/07
100
42.70
05/04/07
1,000
42.71
05/04/07
900
42.73
05/04/07
100
42.74
05/04/07
3,600
42.75
05/04/07
4,700
42.76
05/04/07
100
42.77
05/04/07
200
42.78
05/04/07
800
42.79
05/04/07
400
42.80
05/04/07
2,000
42.82
05/04/07
600
42.83
05/04/07
2,800
42.84
05/04/07
1,500
42.85
05/04/07
5,095
42.86
05/04/07
1,900
42.87
05/04/07
1,700
42.88
05/04/07
16,100
42.89
05/04/07
6,800
42.90
05/04/07
4,600
42.91
05/04/07
2,000
42.92
05/04/07
1,900
42.93
05/04/07
3,000
42.94
05/04/07
6,000
42.95
 
4

 
05/04/07
700
42.96
05/04/07
1,600
42.97
05/04/07
4,800
42.98
05/04/07
2,700
42.99
05/04/07
19,200
43.00
05/04/07
905
43.01
05/04/07
1,000
43.02
05/04/07
2,400
43.03
05/04/07
100
43.05
05/04/07
100
43.06
05/04/07
100
43.07
05/04/07
3,000
43.08
05/04/07
300
43.13
05/04/07
4,000
43.14
05/04/07
1,500
43.15
05/04/07
1,300
43.23
05/04/07
2,000
43.24
05/04/07
1,000
43.27
05/04/07
200
43.28
05/04/07
500
43.29
05/04/07
300
43.32
05/04/07
2,900
43.33
05/04/07
200
43.34
05/04/07
2,000
43.35
05/04/07
2,250
43.36
05/04/07
1,100
43.37
05/04/07
1,000
43.38
05/04/07
500
43.39
05/04/07
2,800
43.40
05/04/07
3,150
43.41
05/04/07
1,600
43.42
05/04/07
1,500
43.43
05/04/07
1,700
43.44
05/04/07
900
43.46
05/04/07
100
43.48
05/04/07
200
43.49
05/04/07
100
43.52
05/04/07
100
43.54
05/04/07
1,400
43.55
05/07/07
200
41.84
05/07/07
700
41.85
05/07/07
800
41.86
05/07/07
1,600
41.87
05/07/07
900
41.88
05/07/07
600
41.89
05/07/07
900
41.90
 
5

 
05/07/07
1,400
41.91
05/07/07
1,100
41.93
05/07/07
2,400
41.94
05/07/07
5,900
41.95
05/07/07
4,500
41.96
05/07/07
9,600
41.97
05/07/07
9,700
41.98
05/07/07
6,900
41.99
05/07/07
29,400
42.00
05/07/07
13,200
42.01
05/07/07
6,800
42.02
05/07/07
8,000
42.03
05/07/07
5,700
42.04
05/07/07
4,100
42.05
05/07/07
4,000
42.06
05/07/07
100
42.07
05/07/07
4,900
42.08
05/07/07
1,500
42.09
05/07/07
1,500
42.10
05/07/07
600
42.11
05/07/07
900
42.12
05/07/07
1,700
42.13
05/07/07
1,700
42.14
05/07/07
1,600
42.15
05/07/07
2,100
42.16
05/07/07
500
42.17
05/07/07
2,100
42.20
05/07/07
800
42.21
05/07/07
600
42.22
05/07/07
200
42.23
05/07/07
200
42.27
05/07/07
400
42.28
05/07/07
200
42.31
05/07/07
900
42.32
05/07/07
500
42.33
05/07/07
500
42.34
05/07/07
1,300
42.35
05/07/07
1,500
42.36
05/07/07
900
42.37
05/07/07
1,300
42.38
05/07/07
3,200
42.39
05/07/07
1,000
42.40
05/07/07
100
42.41
05/07/07
1,000
42.44
05/07/07
1,300
42.45
05/07/07
1,000
42.46
 
6

 
05/07/07
100
42.47
05/07/07
1,100
42.51
05/07/07
400
42.52
05/07/07
900
42.57
05/07/07
700
42.58
05/07/07
600
42.59
05/07/07
500
42.60
05/07/07
400
42.64
05/07/07
600
42.65
05/07/07
400
42.70
05/07/07
300
42.74
05/07/07
100
42.75
05/07/07
1,000
42.79
05/07/07
1,300
42.80
05/07/07
900
42.82
05/07/07
2,100
42.83
05/07/07
400
42.84
05/07/07
900
42.85
05/07/07
400
42.87
05/07/07
400
42.88
05/07/07
600
42.89
05/07/07
1,100
42.93
05/07/07
300
42.94
05/08/07
500
42.54
05/08/07
300
42.55
05/08/07
100
42.56
05/08/07
200
42.58
05/08/07
500
42.59
05/08/07
200
42.61
05/08/07
300
42.62
05/08/07
100
42.64
05/08/07
600
42.65
05/08/07
700
42.66
05/08/07
100
42.67
05/08/07
1,100
42.68
05/08/07
500
42.69
05/08/07
600
42.70
05/08/07
400
42.71
05/08/07
400
42.72
05/08/07
100
42.76
05/08/07
200
42.78
05/08/07
100
42.80
05/08/07
100
42.81
05/08/07
200
42.83
05/08/07
100
42.84
05/08/07
200
42.85
 
7

 
05/08/07
100
42.86
05/08/07
3,100
42.87
05/08/07
1,600
42.88
05/08/07
2,200
42.89
05/08/07
6,400
42.90
05/08/07
2,700
42.91
05/08/07
2,100
42.92
05/08/07
1,100
42.93
05/08/07
1,200
42.94
05/08/07
4,300
42.95
05/08/07
1,700
42.96
05/08/07
800
42.97
05/08/07
2,500
42.98
05/08/07
1,200
42.99
05/08/07
2,700
43.00
05/08/07
1,000
43.01
05/08/07
300
43.02
05/08/07
100
43.03
05/08/07
300
43.04
05/08/07
1,900
43.05
05/08/07
1,000
43.06
05/08/07
500
43.07
05/08/07
700
43.08
05/08/07
900
43.09
05/08/07
1,000
43.10
05/08/07
1,200
43.11
05/08/07
2,000
43.12
05/08/07
2,860
43.13
05/08/07
1,900
43.14
05/08/07
700
43.15
05/08/07
500
43.16
05/08/07
1,100
43.17
05/08/07
300
43.18
05/08/07
200
43.19
05/08/07
100
43.21
05/08/07
800
43.22
05/08/07
200
43.23
05/08/07
700
43.24
05/08/07
700
43.25
05/08/07
300
43.26
05/08/07
100
43.27
05/08/07
200
43.28
05/08/07
200
43.31
05/08/07
200
43.36
05/08/07
100
43.39
05/08/07
3,800
43.40
 
8

 
05/08/07
1,000
43.41
05/08/07
200
43.42
05/08/07
1,100
43.45
05/08/07
1,300
43.47
05/08/07
200
43.48
05/08/07
800
43.49
05/08/07
300
43.54


d. N/A

e. N/A
 
9

 
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.
     
 
 
 
 
 
 
May 18, 2007   /s/ Brian R. Gamache
 
By: Brian R. Gamache
Chief Executive Officer
WMS Industries Inc.
 
10

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