-----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, LjRiGhz79EiLBbJULGb4/lmv8c8od55OwfvTHlNilODpKTmwBP0m1dSv5QPwk9Qy +tOdokIBJGjQ2fFwnNVSmQ== 0000913849-01-000047.txt : 20010223 0000913849-01-000047.hdr.sgml : 20010223 ACCESSION NUMBER: 0000913849-01-000047 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PRIVATEBANCORP INC CENTRAL INDEX KEY: 0000889936 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 363681151 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-60953 FILM NUMBER: 1543757 BUSINESS ADDRESS: STREET 1: TEN NORTH DEARBORN SUITE 900 CITY: CHICAGO STATE: IL ZIP: 60602 MAIL ADDRESS: STREET 1: TEN NORTH DEARBORN STREET CITY: CHICAGO STATE: IL ZIP: 60602 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MANDELL RALPH B CENTRAL INDEX KEY: 0001134663 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1146 LATHROP AVE CITY: RIVER FOREST STATE: IL ZIP: 60305 BUSINESS PHONE: 3126837100 MAIL ADDRESS: STREET 1: 1146 LATHROP AVE CITY: RIVER FOREST STATE: IL ZIP: 60305 SC 13G 1 0001.txt SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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) PrivateBancorp, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 742962103 - -------------------------------------------------------------------------------- (CUSIP Number) June, 1999 - -------------------------------------------------------------------------------- (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) - ---------- 1The 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 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. 742962103 13G PAGE 2 of 5 PAGES - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Ralph B. Mandell - -------------------------------------------------------------------------------- 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. Citizen - -------------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 319,260 - -------------------------------------------------------------------------------- 6. SHARED VOTING POWER 3,261 - -------------------------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER 319,260 - -------------------------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 3,261 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 346,121 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.37% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- CUSIP NO. 742962103 13G PAGE 3 OF 5 PAGES ITEM 1(A). NAME OF ISSUER: PrivateBancorp, Inc. -------------------------------------------------------------- ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: Ten North Dearborn, Chicago, Illinois 60602 -------------------------------------------------------------- ITEM 2(A). NAME OF PERSON FILING: Ralph B. Mandell -------------------------------------------------------------- ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: Ten North Dearborn, Chicago, Illinois 60602 -------------------------------------------------------------- ITEM 2(C). CITIZENSHIP: U.S. Citizen -------------------------------------------------------------- ITEM 2(D). TITLE OF CLASS OF SECURITIES: Common Stock -------------------------------------------------------------- ITEM 2(E). CUSIP NUMBER: 742962103 -------------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 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) [ ] 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). If this Statement is filed pursuant to Rule 13d-1(c), check this box. [X] CUSIP NO. 742962103 13G PAGE 4 OF 5 PAGES ITEM 4. OWNERSHIP. (a) Amount beneficially owned: 346,121 -------------------------------------------------------------- (b) Percent of class: 7.37% -------------------------------------------------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 319,260 ------------- (ii) Shared power to vote or direct the vote: 3,261 ---------- (iii) Sole power to dispose or to direct the disposition of: 319,260 ----------------------------------- (iv) Shared power to dispose or to direct the disposition of: 3,261 ----------------------------------- The amount beneficially owned by Mr. Mandell includes (i) 75,840 shares subject to stock options which are exercisable within 60 days from the date of this report, (ii) 3,261 shares allocated to his account pursuant to the PrivateBancorp, Inc. Savings and Retirement Plan of which there is shared voting power with the plan trustee and (iii) 23,600 shares held by Mr. Mandell's spouse. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not Applicable. CUSIP NO. 742962103 13G PAGE 5 OF 5 PAGES ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not Applicable. 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 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 participation 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. Dated: February 14,2001 /s/ Ralph B. Mandell ----------------------------- Ralph B. Mandell -----END PRIVACY-ENHANCED MESSAGE-----