-----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, PXbWpdu4CBY8/5ShYufpGFKbZsxsCnSN0REccF/JuNzYZlZ0qYQtWuqjEE4bkFtS RzKgJLtvbpRZB75s0t7Tiw== 0000950152-97-000834.txt : 19970222 0000950152-97-000834.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950152-97-000834 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970212 SROS: NYSE 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-42925 FILM NUMBER: 97526611 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: MCDONALD & CO INVESTMENTS INC CENTRAL INDEX KEY: 0000720900 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 341391950 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1400 MCDONALD INVESTMENT CENTER STREET 2: SUITE 2100 CITY: CLEVELAND STATE: OH ZIP: 44114 BUSINESS PHONE: 2164432300 MAIL ADDRESS: STREET 1: 800 SUPERIOR AVE CITY: CLEVELAND STATE: OH ZIP: 44114 SC 13G 1 MCDONALD/SHOE CARNIVAL SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Shoe Carnival, Inc. ----------------------------------------------------------------------------- (Name of Issuer) Common Stock ----------------------------------------------------------------------------- (Title of Class of Securities) 824889109 ----------------------------------------------------------------------------- (Cusip Number) Check the following 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). (Continued on the following page(s) Page 1 of 5 2 SCHEDULE 13G CUSIP NO. 74435P-10-4 PAGE 2 OF 19 PAGES - ----------------------------------------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON McDonald & Co. Securities | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | 34-1391952 | |-----|---------------------------------------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | ---- | | | N/A (b) [ ] | | | ---- | |-----|---------------------------------------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |-----|---------------------------------------------------------------------------------------------------| | 4 | SOURCE OF FUNDS* | | | | | | N/A | | | | | | | |-----|---------------------------------------------------------------------------------------------------| | 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT | | | TO ITEMS 2(d) OR 2(e) [ ] | | | ---- | | | N/A | | | | |-----|---------------------------------------------------------------------------------------------------| | 6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | Cleveland, OH | |-------------------------------|-------|-----------------------------------------------------------------| | NUMBER OF | 7 | SOLE VOTING POWER | | | | | | SHARES | | 8,729 | | |-------|-----------------------------------------------------------------| | BENEFICIALLY | 8 | SHARED VOTING POWER | | | | | | OWNED BY | | 0 | | |-------|-----------------------------------------------------------------| | EACH | 9 | SOLE DISPOSITIVE POWER | | | | | | REPORTING | | 8,729 | | | | | | PERSON |-------|-----------------------------------------------------------------| | | 10 | SHARED DISPOSITIVE POWER | | WITH | | | | | | 757,600 | |-------------------------------|-------|-----------------------------------------------------------------| | 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 766,329 | |-----|---------------------------------------------------------------------------------------------------| | 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN | | | SHARES* [ ] | | | N/A ---- | |-----|---------------------------------------------------------------------------------------------------| | 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | | | | 5.88% | |-----|---------------------------------------------------------------------------------------------------| | 14 | TYPE OF REPORTING PERSON* | | | | | | BD | - -----------------------------------------------------------------------------------------------------------
3 SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 (Amendment No. 8) ITEM 1 (A). NAME OF ISSUER: Shoe Carnival, Inc. - ----------------------------------------------------------------------------- ITEM 1 (B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 8233 Baumgart Road - ----------------------------------------------------------------------------- Evansville, IN 47711 - ----------------------------------------------------------------------------- ITEM 2 (A). NAME OF PERSON FILING: McDonald & Co. Securities Henry Kerr, SVP, General Counsel - ----------------------------------------------------------------------------- ITEM 2 (B). ADDRESS OF PRINCIPAL BUSINESS OFFICE: 800 Superior Avenue - ----------------------------------------------------------------------------- Cleveland, OH 44114 - ----------------------------------------------------------------------------- ITEM 2 (C). PLACE OF ORGANIZATION: State of Ohio - ----------------------------------------------------------------------------- ITEM 2 (D). TITLE OF CLASS OF SECURITIES: Common Stock - ----------------------------------------------------------------------------- ITEM 2 (E). CUSIP NUMBER: 824889109 - ----------------------------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D - 2 (B), INDICATE TYPE OF PERSON FILING: BD - ----------------------------------------------------------------------------- 3 of 5 4 ITEM 4. OWNERSHIP: (a) Amount of beneficially owned: shares 766,329 --------------------- (b) Percent of class: 5.88% --------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 8,729 -------- (ii) Shared power to vote or to direct the vote 0 -------- (iii) Sole power to dispose or to direct the disposition of 8,729 -------- (iv) Shared power to dispose or to direct the disposition of 757,600 --------
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: Other persons are known to have the right to receive or the power to direct the receipt of dividends or the proceeds from the sale of these securities. Those persons whose interest relates to more than five percent of the class are: None ---- ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARIES WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Identification: --------------------- Classification: N/A -------------------------------- ------------------- ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not Applicable -------------- ITEM 9. NOTICE OF DISSOLUTION OF GROUP: Not Applicable -------------- 4 of 5 5 ITEM 10. CERTIFICATION The undersigned expressly declares that the filing of the Schedule 13G shall not be construed as an admission that the undersigned is, for purposes of Section 13(d) and 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this Schedule 13G. By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above 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 purposes or effect. 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: 2/10/97 -------------- By: /s/ Henry Kerr -------------------- Henry Kerr Senior Vice President, General Counsel 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----