-----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, VnBZrnhOkAAPqEv1J2lqPFHWuMylvHmBAQo5td2uTOPI5Pq0o2CtospQHwqz8Qws 21X7fLt+4dBov0nwXNTksg== 0000734259-98-000012.txt : 19980217 0000734259-98-000012.hdr.sgml : 19980217 ACCESSION NUMBER: 0000734259-98-000012 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED RETAIL GROUP INC/DE CENTRAL INDEX KEY: 0000881905 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-WOMEN'S CLOTHING STORES [5621] IRS NUMBER: 510303670 STATE OF INCORPORATION: DE FISCAL YEAR END: 0201 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-42996 FILM NUMBER: 98535576 BUSINESS ADDRESS: STREET 1: 365 WEST PASSAIC ST CITY: ROCHELLE PARK STATE: NJ ZIP: 07662 BUSINESS PHONE: 2018450880 MAIL ADDRESS: STREET 1: 365 W PASSAIC STREET STREET 2: 365 W PASSAIC STREET CITY: ROCHELLE PARK STATE: NJ ZIP: 07662 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROCKEFELLER & CO INC /ADV CENTRAL INDEX KEY: 0000734259 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133006584 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 30 ROCKEFELLER PLZ STREET 2: RM 5425 CITY: NEW YORK STATE: NY ZIP: 10112 BUSINESS PHONE: 2126495600 SC 13G/A 1 AMENDMENT NUMBER 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT of 1934 (AMENDMENT NO. 2 )* United Retail Group, Inc. (NAME OF ISSUER) Common Stock, $.001 par value per share (TITLE OF CLASS OF SECURITIES) 911380103 (CUSIP NUMBER) Check the following box if a fee is being paid with this statement |__|. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *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). CUSIP NO. 911380103 13G PAGE 2 OF 5 PAGES 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Rockefeller & Co., Inc. I.R.S. Identification No.: 13-3006584 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* Not applicable (a) |_| (b) |_| 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York 5 SOLE VOTING POWER NUMBER OF 970,400 SHARES 6 SHARED VOTING POWER Not applicable. BENEFICIALLY 7 SOLE DISPOSITIVE POWER OWNED BY 970,400 EACH REPORTING 8 SHARED DISPOSITIVE POWER Not applicable. PERSON WITH 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 970,400 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Not applicable. 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.0% 12 TYPE OF REPORTING PERSON* IA *SEE INSTRUCTION BEFORE FILLING OUT! PAGE 3 of 5 PAGES Item 1(a). Name of Issuer: United Retail Group, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 365 West Passaic Street Rochelle Park, NJ 07662 Item 2(a). Name of Person Filing: Rockefeller & Co., Inc. Item 2(b). Address of Principal Business Office: 30 Rockefeller Plaza, New York, New York 10112 Item 2(c). Citizenship: New York Item 2(d). Title of Class of Securities: Common Stock, $.001 par value per share Item 2(e). CUSIP Number: 911380103 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 13d-(b)(1)(ii)(F), (g) Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G), (h) Group, in accordance with Rule 13d-1(b)(1)(ii)(H). PAGE 4 of 5 PAGES Item 4. Ownership As of December 31, 1997: (a) Amount Beneficially Owned: 970,400 (b) Percent of Class: 8.0% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 970,400, (ii) shared power to vote or to direct the vote -0-, (iii)sole power to dispose or to direct the disposition of 970,400, (iv) shared power to dispose or to direct the disposition of -0-. Item 5. Ownership of Five Percent or Less of a Class. Not Applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Rockefeller & Co., Inc. ("R&Co.") is making this filing on behalf of certain clients for which it is the investment manager (collectively, the "R&Co. clients"). Each of these R&Co. clients, individually, owns less than 5% of this security. PAGE 5 of 5 PAGES Each of these R&Co. clients has executed investment management agreements granting R&Co. the right to exercise full discretion with respect to all matters relating to the stock of the Issuer held by them (including sole voting and dispositive power). Thus, while R&Co. is for purposes of this filing regarded as the beneficial owner of the shares of the Issuer held by each of the R&Co. clients, each of the R&Co. clients has the sole right to receive dividends from, and the proceeds from the sale of, the securities of the Issuer owned of record by each of them. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. Not Applicable. Item 8. Identification and Classification of Members of the Group. Not Applicable. Item 9. Notice of Dissolution of Group. Not Applicable. Item 10. Certification. By signing below I certify that, to the best of my 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. 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. February 12, 1998 (Date) /S/David A. Strawbridge (Signature) David A. Strawbridge, Vice President (Name/Title) -----END PRIVACY-ENHANCED MESSAGE-----