-----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, JHONynstrLvzjNgd1cmB/QPc/pq6VJ/pPwNKrVRZcfdAVRUgx2HHhpgS2Zt6wjgV T0IEoUKEQ6Yof9rKK/w+1g== 0000950135-98-001059.txt : 19980218 0000950135-98-001059.hdr.sgml : 19980218 ACCESSION NUMBER: 0000950135-98-001059 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980217 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COST PLUS INC/CA/ CENTRAL INDEX KEY: 0000798955 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-VARIETY STORES [5331] IRS NUMBER: 941067973 STATE OF INCORPORATION: CA FISCAL YEAR END: 0201 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-45833 FILM NUMBER: 98541848 BUSINESS ADDRESS: STREET 1: 201 CLAY ST STREET 2: P O BOX 23350 CITY: OAKLAND STATE: CA ZIP: 94607 BUSINESS PHONE: 4158937300 MAIL ADDRESS: STREET 1: P O BOX 23350 STREET 2: P O BOX 23350 CITY: OAKLAND STATE: CA ZIP: 94623 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HLM MANAGEMENT CO INC CENTRAL INDEX KEY: 0000938635 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 042803046 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 222 BERKELEY ST CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6172600030 MAIL ADDRESS: STREET 1: 222 BERKELEY ST CITY: BOSTON STATE: MA ZIP: 02116 SC 13G/A 1 SCHEDULE 13G/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. 1)* Cost Plus, Inc. ----------------------------------------------------- (Name of Issuer) Common ----------------------------------------------------- (Title of Class of Securities) 221485105 ----------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. - ---------- *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 cover 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 ("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). 2 CUSIP No. 221485105 13G Page 2 of 5 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON(S) S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON(S) HLM Management Co., Inc. 04 2803046 222 Berkeley Street Boston, MA 02116 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 0 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH REPORTING -------------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER WITH 0 -------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0 - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 13G Page 3 of 5 Pages Item 1. (a) Name of Issuer: Cost Plus, Inc. -------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices: 201 Clay Street, Oakland CA 94607 -------------------------------------------------------------- Item 2. (a) Name of Person Filing: HLM Management Co., Inc. -------------------------------------------------------------- (b) Address of Principal Business Office, or if None, Residence: 222 Berkeley Street, Boston, MA 02116 -------------------------------------------------------------- (c) Citizenship: Mass. & U.S. ------------------------------------------------- (d) Title of Class of Securities: Common -------------------------------------------------------------- (e) CUSIP Number: 221485105 ------------------------------------------------- Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Act, (b) [ ] Bank as defined in Section 3(a)(6) of the Act, (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act, (d) [ ] Investment Company registered under Section 8 of the Investment Company Act, (e) [X] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(ii)(F); see Item 7, (g) [ ] Parent Holding Company, in accordance with Section 240.13d-1(b)(1)(ii)(G); see Item 7, (h) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(H). 4 13-G Page 4 of 5 Pages Item 4. Ownership. If more than five percent of the class is owned, indicate: (a) Amount beneficially owned: 0 -------------------------------------, (b) Percent of class: 0 ----------------------------------------------, (c) Number of shares as 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 --------------, (iii) Sole power to dispose or to direct the disposition of 0 -------------------------------------------------------, (iv) Shared power to dispose or to direct the disposition of --------------------------------------------------, and (d) Shares which there is a right to acquire: ----------------------. Item 5. Ownership of Five Percent or Less of a Class. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company. Item 8. Identification and Classification of Members of the Group. Item 9. Notice of Dissolution of Group. Item 10. Certification. By signing below -I/we- certify that, to the best of my/our knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 5 13-G Page 5 of 5 Pages Signature. After reasonable inquiry and to the best of my knowledge and belief, -I/we- certify that the information set forth in this statement is true, complete and correct. Date: /s/ A. R. Haberkorn, III - ---------------------------------- (Signature)* A. R. Haberkorn, III / Clerk - ---------------------------------- (Name/Title) * Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----