-----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, LedBm6jebAjxOKuALpvi28bAJRgSrIMLjSzVoTEm1L7H3DeiHawn/AtIJsMQdf3J YxBZNw60JVIhslo4JM3Mow== 0000911916-97-000025.txt : 19970222 0000911916-97-000025.hdr.sgml : 19970222 ACCESSION NUMBER: 0000911916-97-000025 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SHOE CARNIVAL INC CENTRAL INDEX KEY: 0000895447 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-SHOE STORES [5661] IRS NUMBER: 351736614 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42925 FILM NUMBER: 97535618 BUSINESS ADDRESS: STREET 1: 8233 BAUMGART ROAD CITY: EVANSVILLE STATE: IN ZIP: 47711 BUSINESS PHONE: 8128674039 MAIL ADDRESS: STREET 1: 8233 BAUMGART RD CITY: EVANSVILLE STATE: IN ZIP: 47711 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RUSSELL DAVID H CENTRAL INDEX KEY: 0001007848 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 8233 BAUMGART RD CITY: EVANSVILLE STATE: IN ZIP: 47711 BUSINESS PHONE: 8128676471 MAIL ADDRESS: STREET 1: BAKER & DANIELS STREET 2: 300 N MERIDIAN ST STE 2700 CITY: INDIANAPOLIS STATE: IN ZIP: 46204 SC 13G/A 1 DAVID H. RUSSELL'S SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SHOE CARNIVAL, INC. (Name of Issuer) COMMON STOCK, WITHOUT PAR VALUE (Title of Class of Securities) 824889 10 9 (CUSIP Number) *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). (Continued on following page(s)) Page 1 of 6 Pages CUSIP No. 824889 10 9 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person David H. Russell 2. Check the appropriate box if a member of a group Not applicable 3. 4. Citizenship or Place of Organization United States of America 5. Sole Voting Power 701,831 shares{(1)} 6. Shared Voting Power -0- 7. Sole Dispositive Power 701,831 shares{(1)} 8. Shared Dispositive Power -0- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 720,566 shares{(1)(2)} 10. Check box if the Aggregate Amount in Row (9) Excludes Certain Shares __________________ (1) Includes 900 shares held by Mr. Russell as custodian for his minor children and presently exercisable stock options to purchase 16,666 shares. (2) Includes 18,735 shares owned by Mr. Russell's spouse. Page 2 of 6 Pages 11. Percent of Class Represented by Amount in Row 9 5.5% 12. Type of Reporting Person IN Page 3 of 6 Pages ITEM 1(A).NAME OF ISSUER. Shoe Carnival, Inc. ITEM 1(B).ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES. 8233 Baumgart Road Evansville, Indiana 47711 ITEM 2(A).NAME OF PERSON FILING. David H. Russell ITEM 2(B).ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE. David H. Russell 8233 Baumgart Road Evansville, Indiana 47711 ITEM 2(C).CITIZENSHIP. United States of America ITEM 2(D).TITLE OF CLASS OF SECURITIES. Common Stock, without par value ITEM 2(E).CUSIP NUMBER. 824889 10 9 ITEM 3.IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B) OR 13D-2(B): Not Applicable ITEM 4.OWNERSHIP. ITEM 4(A).AMOUNT BENEFICIALLY OWNED: 720,566 shares{(1)(2)} __________________ (1) Includes 900 shares held by Mr. Russell as custodian for his minor children and presently exercisable stock options to purchase 16,666 shares. (2) Includes 18,735 shares owned by Mr. Russell's spouse. Page 4 of 6 Pages ITEM 4(B).PERCENT OF CLASS: 5.5% ITEM 4(C).NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) sole power to vote or direct the vote: 701,831{(1)} (ii) shared power to vote or to direct the vote: -0- (iii)sole power to dispose or to direct the disposition of: 701,831{(1)} (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. 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 __________________ (1) Includes 900 shares held by Mr. Russell as custodian for his minor children and presently exercisable stock options to purchase 16,666 shares. Page 5 of 6 Pages 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. Date: February 7, 1997 /s/ David H. Russell David H. Russell Page 6 of 6 Pages -----END PRIVACY-ENHANCED MESSAGE-----