-----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, Jibe+59/ABy3lkg7IN8xkr+cbEf5xUOGMLm6APqqZuLwN+dmMdeP/Duw5d8eDBA+ 2ANue11CiTFH3VWkA1jFSg== 0000919574-06-004901.txt : 20061208 0000919574-06-004901.hdr.sgml : 20061208 20061208144922 ACCESSION NUMBER: 0000919574-06-004901 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20061208 DATE AS OF CHANGE: 20061208 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROCKFORD CORP CENTRAL INDEX KEY: 0000828064 STANDARD INDUSTRIAL CLASSIFICATION: HOUSEHOLD AUDIO & VIDEO EQUIPMENT [3651] IRS NUMBER: 860394353 STATE OF INCORPORATION: AZ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58969 FILM NUMBER: 061265425 BUSINESS ADDRESS: STREET 1: 546 SOUTH ROCKFORD DRIVE CITY: TEMPE STATE: AZ ZIP: 85281 BUSINESS PHONE: 4809673565 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DAEG CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001327155 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 100 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-686-0021 MAIL ADDRESS: STREET 1: 100 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 SC 13G/A 1 d727694_13g-a.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1) Rockford Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 77316P101 - -------------------------------------------------------------------------------- (CUSIP Number) December 1, 2006 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) CUSIP No. 77316P101 --------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Daeg Capital Management, LLC 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 990,944 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 990,944 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 990,944 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.6% 12. TYPE OF REPORTING PERSON* OO CUSIP No. 77316P101 --------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Daeg Partners, L.P. 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 990,944 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 990,944 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 990,944 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.6% 12. TYPE OF REPORTING PERSON* PN CUSIP No. 77316P101 --------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Daeg Administrative Advisors, LLC 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 990,944 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 990,944 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 990,944 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.6% 12. TYPE OF REPORTING PERSON* OO CUSIP No. 77316P101 --------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Scott Kimelman 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 990,944 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 990,944 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 990,944 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.6% 12. TYPE OF REPORTING PERSON* IN CUSIP No. 77316P101 --------------------- Item 1(a). Name of Issuer: Rockford Corporation ____________________________________________________________________ Item 1(b). Address of Issuer's Principal Executive Offices: 600 South Rockford Drive Tempe, Arizona 85281 ____________________________________________________________________ Item 2(a). Name of Person Filing: Daeg Capital Management, LLC Daeg Partners, L.P. Daeg Administrative Advisors, LLC Scott Kimelman ____________________________________________________________________ Item 2(b). Address of Principal Business Office, or if None, Residence: Daeg Capital Management, LLC 100 Park Avenue New York, New York 10017 Daeg Partners, L.P. 100 Park Avenue New York, New York 10017 Daeg Administrative Advisors, LLC 100 Park Avenue New York, New York 10017 Scott Kimelman c/o Daeg Capital Management, LLC 100 Park Avenue New York, New York 10017 ___________________________________________________________________ Item 2(c). Citizenship: Daeg Capital Management, LLC - Delaware, U.S.A. Daeg Partners, L.P. - Delaware, U.S.A. Daeg Administrative Advisors, LLC - Delaware, U.S.A. Scott Kimelman - U.S.A. ____________________________________________________________________ Item 2(d). Title of Class of Securities: Common Stock, $.01 par value ____________________________________________________________________ Item 2(e). CUSIP Number: 77316P101 ____________________________________________________________________ Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [_] Broker or dealer registered under Section 15 of the Exchange Act. (b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [_] Investment company registered under Section 8 of the Investment Company Act. (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: Daeg Capital Management, LLC: 990,944 shares Daeg Partners, L.P.: 990,944 shares Daeg Administrative Advisors, LLC: 990,944 shares Scott Kimelman: 990,944 shares ______________________________________________________________________ (b) Percent of class: Daeg Capital Management, LLC: 10.6% Daeg Partners, L.P.: 10.6% Daeg Administrative Advisors, LLC: 10.6% Scott Kimelman: 10.6% ______________________________________________________________________ (c) Number of shares as to which Daeg Capital Management, LLC has: (i) Sole power to vote or to direct the vote 0 ---------------------, (ii) Shared power to vote or to direct the vote 990,944 ---------------------, (iii) Sole power to dispose or to direct the disposition of 0 ---------------------, (iv) Shared power to dispose or to direct the disposition of 990,944 ---------------------. Number of shares as to which Daeg Partners, L.P. has: (i) Sole power to vote or to direct the vote 0 ---------------------, (ii) Shared power to vote or to direct the vote 990,944 ---------------------, (iii) Sole power to dispose or to direct the disposition of 0 ---------------------, (iv) Shared power to dispose or to direct the disposition of 990,944 ---------------------. Number of shares as to which Daeg Administrative Advisors, LLC has: (i) Sole power to vote or to direct the vote 0 ---------------------, (ii) Shared power to vote or to direct the vote 990,944 ---------------------, (iii) Sole power to dispose or to direct the disposition of 0 ---------------------, (iv) Shared power to dispose or to direct the disposition of 990,944 ---------------------. Number of shares as to which Scott Kimelman has: (i) Sole power to vote or to direct the vote 0 ---------------------, (ii) Shared power to vote or to direct the vote 990,944 ---------------------, (iii) Sole power to dispose or to direct the disposition of 0 ---------------------, (iv) Shared power to dispose or to direct the disposition of 990,944 ---------------------. Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities check the following [ ]. N/A _______________________________________________________________________ Item 6. Ownership of More Than Five Percent on Behalf of Another Person. If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required. N/A _______________________________________________________________________ Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. If a parent holding company or Control person has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company or control person has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary. N/A _______________________________________________________________________ Item 8. Identification and Classification of Members of the Group. If a group has filed this schedule pursuant to s.240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to s.240.13d-1(c) or s.240.13d-1(d), attach an exhibit stating the identity of each member of the group. N/A _______________________________________________________________________ Item 9. Notice of Dissolution of Group. Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5. N/A ______________________________________________________________________ Item 10. Certifications. Certification for Rule 13d-1(c): By signing below each reporting person certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. December 8, 2006 ---------------------------------------- (Date) Daeg Capital Management, LLC(1) By: /s/ Scott Kimelman -------------------------------------- Managing Member Daeg Partners, L.P.(1) By: Daeg Capital Management, LLC General Partner By: /s/ Scott Kimelman ----------------------------------- Managing Member Daeg Administrative Advisors, LLC(1) By: /s/ Scott Kimelman -------------------------------------- Managing Member /s/ Scott Kimelman(1) ---------------------------------------- Scott Kimelman - ---------- (1) The Reporting Persons disclaim beneficial ownership except to the extent of their pecuniary interest therein. Exhibit A AGREEMENT The undersigned agree that this Schedule 13G/A dated December 8, 2006 relating to the Common Stock, $.01 par value, of Rockford Corporation shall be filed on behalf of the undersigned. Daeg Capital Management, LLC By: /s/ Scott Kimelman -------------------------------------- Managing Member Daeg Partners, L.P. By: Daeg Capital Management, LLC General Partner By: /s/ Scott Kimelman ----------------------------------- Managing Member Daeg Administrative Advisors, LLC By: /s/ Scott Kimelman -------------------------------------- Managing Member /s/ Scott Kimelman ---------------------------------------- Scott Kimelman SK 02962 0001 727694 -----END PRIVACY-ENHANCED MESSAGE-----