-----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, G2ymYrkw2XWzm9wsE8P33jzfz8yWgBH7Tuz5dVeeX495861BTX/scYKPXWT7clLP GeBgWJfatoKpfPDbRKKi3w== 0001047469-98-001969.txt : 19980128 0001047469-98-001969.hdr.sgml : 19980128 ACCESSION NUMBER: 0001047469-98-001969 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980126 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRO LEARNING INC CENTRAL INDEX KEY: 0000893965 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PUBLISHING [2741] IRS NUMBER: 363660532 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-43059 FILM NUMBER: 98512558 BUSINESS ADDRESS: STREET 1: POPLAR CREEK OFFICE PLAZA STREET 2: 1721 MOON LAKE BOULEVARD CITY: HOFFMAN ESTATES STATE: IL ZIP: 60194 BUSINESS PHONE: 8477817800 MAIL ADDRESS: STREET 1: 1721 MOON LAKE BLVD SUITE 555 CITY: HOOFMAN ESGTATES STATE: IL ZIP: 60194 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROACH WILLIAM R CENTRAL INDEX KEY: 0000903527 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: TRO LEARNING INC STREET 2: 1721 MOON LAKE BLVD SUITE 555 CITY: HOFFMAN ESTATES STATE: IL ZIP: 60194 BUSINESS PHONE: 8477817800 MAIL ADDRESS: STREET 1: TRO LEARNING INC STREET 2: 1721 MOON LAKE BLVD SUITE 555 CITY: HOFFMAN ESTATES STATE: IL ZIP: 60194 SC 13G/A 1 FORM 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5 )* ------ TRO Learning, Inc. ---------------------------------- (Name of Issuer) Common Stock ---------------------------------- (Title of Class of Securities) 87263R 10 9 ---------------------------------- (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 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). Page 1 of 5 Pages --- CUSIP No. 87263R 10 9 13G Page 2 of 5 Pages --------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons William R. Roach - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 1,276,140 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power -- -------------------------------------------------- (7) Sole Dispositive Power 1,234,012 (excludes 42,128 shares) -------------------------------------------------- (8) Shared Dispositive Power -- - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,234,012 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* X See Item 6 attached hereto - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 18% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 5 Pages --- --- This Amendment No. 5 to Schedule 13G filed by William R. Roach ("Roach"), relates to the Schedule 13G (the "Schedule 13G") filed by Roach relating to the common stock, par value $0.01 per share ("Common Stock"), of TRO Learning, Inc., a Delaware corporation, and is being filed pursuant to Rule 13d-2 of the General Rules and Regulations under the Securities and Exchange Act of 1934, as amended. All capitalized terms used herein and not otherwise defined herein have the meanings assigned to them in the Schedule 13G. ITEM 1(A). NAME OF ISSUER TRO Learning, Inc. - ------------------------------------------------------------------------------- ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 1721 Moon Lake Boulevard Suite 555 Hoffman Estates, IL 60194 - ------------------------------------------------------------------------------- ITEM 2(A). NAME OF PERSON(S) FILING William R. Roach - ------------------------------------------------------------------------------- ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE See Item 1.b. above - ------------------------------------------------------------------------------- ITEM 2(C). CITIZENSHIP United States - ------------------------------------------------------------------------------- ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock - ------------------------------------------------------------------------------- ITEM 2(E). CUSIP NUMBER 87263R 10 9 - ------------------------------------------------------------------------------- ITEM 3. Not Applicable ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 1,276,140 shares of Common Stock* --------------------------------------------------------------------------- (b) Percent of Class: 18% --------------------------------------------------------------------------- (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 1,276,140* ----------------------------------------------------------------- (ii) shared power to vote or to direct the vote 0 ----------------------------------------------------------------- (iii) sole power to dispose or to direct the disposition of 1,234,012* ----------------------------------------------------------------- (iv) shared power to dispose or to direct the disposition of 0 ----------------------------------------------------------------- - ----------------------- * Includes 312,402 shares of Common Stock subject to purchase pursuant to the exercise of options exercisable currently or within 60 days of December 31, 1997. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not Applicable Page 4 of 5 Pages --- --- ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Of the 1,276,140 shares of Common Stock over which Roach maintains the sole power to vote or direct the vote, 42,128 shares are held of record by the adult children of Roach but as to which Roach disclaims beneficial ownership. Such children of Roach are entitled to receive the dividends on and the proceeds from the sale of such shares of Common Stock. - ------------------------------------------------------------------------------- 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 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. Dated: January 23, 1998 /s/ William R. Roach - ----------------------------- William R. Roach -----END PRIVACY-ENHANCED MESSAGE-----