-----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, HQqpg6aZNIBMvnkdXXOUUOsuyTPnSDdomk70WJAjV2vMn/fO22Aa4T8X0UdjLLPl sxeM0KUFYwwecOU0AlE1FQ== 0000950135-99-001319.txt : 19990312 0000950135-99-001319.hdr.sgml : 19990312 ACCESSION NUMBER: 0000950135-99-001319 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990311 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SAUCONY INC CENTRAL INDEX KEY: 0000049401 STANDARD INDUSTRIAL CLASSIFICATION: RUBBER & PLASTICS FOOTWEAR [3021] IRS NUMBER: 041465840 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-33321 FILM NUMBER: 99563173 BUSINESS ADDRESS: STREET 1: 13 CENTENNIAL DR STREET 2: CENTENNIAL INDUSTRIAL PK CITY: PEABODY STATE: MA ZIP: 01961 BUSINESS PHONE: 5085329000 MAIL ADDRESS: STREET 1: 13 CENTENNIAL DRIVE STREET 2: CENTENNIAL INDUSTRIAL PARK CITY: PEABODY STATE: MA ZIP: 01960 FORMER COMPANY: FORMER CONFORMED NAME: HYDE ATHLETIC INDUSTRIES INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: HYDE A R & SONS CO DATE OF NAME CHANGE: 19701030 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOTTESMAN CHARLES & MERRILL CENTRAL INDEX KEY: 0001007799 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 13 CENTENNIAL DR CITY: PEABODY STATE: MA ZIP: 01960 BUSINESS PHONE: 5085329000 MAIL ADDRESS: STREET 1: 13 CENTENNIAL DR CITY: PEABODY STATE: MA ZIP: 01960 SC 13D/A 1 SAUCONY, INC. (C.A. GOTTESMAN & M.F. GOTTESMAN) 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 --------------- SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 3 )(1) Saucony, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Class A Common Stock, $.33 1/3 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 448632109 - -------------------------------------------------------------------------------- (CUSIP Number) Charles A. Gottesman and Merrill F. Gottesman, Saucony, Inc. 13 Centennial Drive, Peabody, MA 01960 (978) 532-9000 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 26, 1999 - -------------------------------------------------------------------------------- (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 Rule 13d-1(e), 13d-1(f) or 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 13d-7(b) for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 3 Pages) - -------------------- (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 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 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). 2 - ------------------------- ------------------------- CUSIP No. 448632109 13D/A Page 2 of 3 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Charles A. Gottesman and Merrill F. Gottesman - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS* OO (gift of securities) - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER 315,014 NUMBER OF --------------------------------------------------------- SHARES 8. SHARED VOTING POWER BENEFICIALLY OWNED BY 285,276 EACH --------------------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON WITH 315,014 --------------------------------------------------------- 10. SHARED DISPOSITIVE POWER 285,276 - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 600,290 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ X ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 22.2% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 - ------------------------- ------------------------- CUSIP No. 448632109 13D/A Page 3 of 3 Pages - -------------------------------------------------------------------------------- This Schedule 13D/A amends the Schedule 13D (the "Original Statement") filed by Charles A. Gottesman on April 30, 1993, as amended by the Schedule 13D/A filed by Charles A. Gottesman and Merrill F. Gottesman on February 15, 1996, as further amended by the Schedule 13D/A filed by Charles A. Gottesman and Merrill F. Gottesman on February 26, 1996. Except as set forth below, there are no changes to the information set forth in the Original Statement, as amended. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Item 3 is amended by replacing the first paragraph thereof with the following paragraph: On February 26, 1999, Phyllis H. Fisher made a bona fide gift of 382,472 shares (the "Shares") of Class A Common Stock, $0.33-1/3 par value per share ("Common Stock"), of Saucony, Inc. to PooRoo LLC, a Delaware limited liability company the managing member of which is PooRoo, Inc., a Massachusetts S corporation. Merrill F. Gottesman is Treasurer, Clerk and Director of PooRoo, Inc., and has a 50% membership interest in PooRoo LLC. None of PooRoo LLC, PooRoo, Inc., Charles A. Gottesman or Merrill F. Gottesman paid any consideration for the Shares. Merrill F. Gottesman is the daughter of Phyllis H. Fisher. Charles A. Gottesman and Merrill F. Gottesman are married. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Item 5 is amended by replacing the first paragraph thereof with the following paragraph: Charles A. Gottesman is the direct owner of 97,481 shares for which he exercises sole investment and voting power. Merrill F. Gottesman is the direct owner of 217,533 shares for which she exercises sole investment and voting power. Of the remaining 285,276 shares, 191,236 shares are held by PooRoo LLC of which each of Mrs. Gottesman and her brother, John H. Fisher, has a 50% membership interest and shares investment and voting power; 83,410 shares are held in trust for the benefit of Mrs. Gottesman for which Mrs. Gottesman and John H. Fisher are trustees and share investment and voting power; 2,666 shares are held by Mr. and Mrs. Gottesman's daughters for which Mr. and Mrs. Gottesman exercise shared investment and voting power; and 7,964 shares are held in trust for the benefit of Mr. and Mrs. Gottesman's daughters for which Merrill F. Gottesman is the trustee and exercises sole investment and voting power. The number of shares beneficially owned by Mr. and Mrs. Gottesman does not include (i) 191,236 shares held by PooRoo LLC of which each of Mrs. Gottesman and John H. Fisher has a 50% membership interest and shares investment and voting power and as to which Mrs. Gottesman disclaims beneficial ownership, and (ii) 83,410 shares held in trust for the benefit of John H. Fisher for which Mrs. Gottesman and John H. Fisher are trustees and share investment and voting power and as to which Mrs. Gottesman disclaims beneficial ownership. SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. March 2, 1999 /s/ Charles A. Gottesman --------------------------------------- Charles A. Gottesman March 2, 1999 /s/ Merrill F. Gottesman ---------------------------------------- Merrill F. Gottesman -----END PRIVACY-ENHANCED MESSAGE-----