-----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, VMvMkCIrNECJCSCsgkNbc8XQig5oWRVbrqrTZ4FfF6Yat/o9Jd2799RBdrS7Tzj0 dBEWAcjVfL5SF8ohDBzI3g== 0001019439-01-500021.txt : 20020412 0001019439-01-500021.hdr.sgml : 20020412 ACCESSION NUMBER: 0001019439-01-500021 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011206 GROUP MEMBERS: KAYNE FRED SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GLACIER WATER SERVICES INC CENTRAL INDEX KEY: 0000883505 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-NONSTORE RETAILERS [5960] IRS NUMBER: 330493559 STATE OF INCORPORATION: DE FISCAL YEAR END: 1226 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-42316 FILM NUMBER: 1808040 BUSINESS ADDRESS: STREET 1: 2651 LA MIRADA DRIVE, SUITE 100 CITY: VISTA STATE: CA ZIP: 92083-8435 BUSINESS PHONE: 7605601111 MAIL ADDRESS: STREET 1: 2651 LA MIRADA DRIVE, SUITE 100 CITY: VISTA STATE: CA ZIP: 92083-8435 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KAYNE FRED CENTRAL INDEX KEY: 0000949806 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: FORTUNE FINANCIAL STREET 2: 1800 AVENUE OF THE STARS, SUITE 1112 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 3105562721 MAIL ADDRESS: STREET 1: C/O FORTUNE FINANCIAL STREET 2: 1800 AVENUE OF THE STARS STE 310 CITY: LOS ANGELES STATE: CA ZIP: 90067 SC 13D 1 glacier13d.txt GLACIER WATER SERVICES, INC. OMB APPROVAL OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden Hours per response ... 14.90 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 GLACIER WATER SERVICES, INC. ........................................................................ (Name of Issuer) COMMON STOCK ........................................................................ (Title of Class of Securities) 376395109 ........................................................................ (CUSIP Number) Anthony Wall, c/o Fortune Financial, 1800 Avenue of the Stars, Suite 310, Los Angeles, CA 90067; (310) 551-0322 ........................................................................ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) 11/13/01 ........................................................................ (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. *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 ("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. 376395109 SCHEDULE 13D ............................................................................. 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Fred Kayne ###-##-#### ............................................................................. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] ............................................................................. 3 SEC USE ONLY ............................................................................. 4 SOURCE OF FUNDS PF ............................................................................. 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] ............................................................................. 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States ............................................................................. 7 SOLE VOTING POWER NUMBER OF 256,200 SHARES ..................................................... BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH REPORTING 0 PERSON WITH ..................................................... 9 SOLE DISPOSITIVE POWER 256,200 ..................................................... 10 SHARED DISPOSITIVE POWER 0 ............................................................................. 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 256,200 ............................................................................. 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X] ............................................................................. 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 9.0% ............................................................................. 14 TYPE OF REPORTING PERSON IN ............................................................................. United States Securities and Exchange Commission Schedule 13D ********************* Item 1. Security and Issuer Common Stock, with $0.01 Par Value. Glacier Water Services, Inc. 2261 Cosmos Court Carlsbad, CA 92009 Item 2. Identity and Background Fred Kayne is a U.S. citizen. His principal business address is Fortune Financial, 1800 Avenue of the Stars, Los Angeles, CA 90067. Mr. Kayne is a private investor. During the past five years, Mr. Kayne, has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), nor has he been a party to a civil proceeding of a judicial or administrative body or the subject of any judgments, decrees or final orders from the regulatory bodies. Item 3. Source and Amount of Funds or Other Consideration Personal funds. Item 4. Purpose of Transaction The shares of the issuer were purchased for investment purposes. Mr. Kayne will consider making further sales or purchases of the shares. Item 5. Interest in Securities of the Issuer a. 256,200 shares, representing 9.0% of the share outstanding. b. Mr. Kayne has sole voting power over the shares. c. Share transaction: Date Type # of shares Price Where/how - -------- ---- ----------- ------- ------------- 05/14/01 Buy 3,200 $7.66 AMEX 05/25/01 Buy 3,200 $7.6194 AMEX 11/13/01 Buy 10,000 $8.1350 AMEX d. Not applicable e. Not applicable Item 6.Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. Not applicable Item 7. Material to Be Filed as Exhibits. Not applicable 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. 11/30/01 - --------------------------------------------------------------- Date /s/ FRED KAYNE - ---------------------------------------------------------------- [NAME OF FILER] -----END PRIVACY-ENHANCED MESSAGE-----