-----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, WE3D8slZtvYdyB3/6kOgAbFMAfx1nxycq05l4oovAGZTpZBQaU21lETJqYGfPhpZ s7Mft2zHXH+xX3ffQwKOTQ== 0000897069-01-000109.txt : 20010214 0000897069-01-000109.hdr.sgml : 20010214 ACCESSION NUMBER: 0000897069-01-000109 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20010213 GROUP MEMBERS: DONALD A. YACKTMAN GROUP MEMBERS: THE YACKTMAN FUNDS, INC. GROUP MEMBERS: YACKTMAN ASSET MANAGEMENT CO/IL SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DEPARTMENT 56 INC CENTRAL INDEX KEY: 0000902270 STANDARD INDUSTRIAL CLASSIFICATION: POTTERY & RELATED PRODUCTS [3260] IRS NUMBER: 133684956 STATE OF INCORPORATION: DE FISCAL YEAR END: 0102 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-43517 FILM NUMBER: 1535901 BUSINESS ADDRESS: STREET 1: ONE VILLAGE PL STREET 2: 6436 CITY W PKWY CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 BUSINESS PHONE: 6129445600 MAIL ADDRESS: STREET 1: ONE VILLAGE PLACE STREET 2: 6436 CITY WEST PKWY CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: YACKTMAN ASSET MANAGEMENT CO/IL CENTRAL INDEX KEY: 0000905567 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 363780592 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 303 WEST MADISON STREET STREET 2: SUITE 1925 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3122011200 MAIL ADDRESS: STREET 1: 303 WEST MADISON STREET STREET 2: STE 1925 CITY: CHICAGO STATE: IL ZIP: 60606 SC 13G/A 1 0001.txt SCHEDULE 13G AMENDMENT 4 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* DEPARTMENT 56 INCORPORATED - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 249509100 ----------------------------------------------------- (CUSIP Number) December 31, 2000 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) * 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). Page 1 of 7 Pages - ------------------------- CUSIP No. 249509100 - ------------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Donald A. Yacktman - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a)[ ] (b)[X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 120,000 SHARES -------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY 46,400(1) OWNED BY -------------------------------------------------------- 7 SOLE DISPOSITIVE POWER EACH 120,000 REPORTING -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER PERSON 1,114,600(1) WITH - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,234,600 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] Not Applicable - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.2%(2) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN ================================================================================ (1) Represents shares beneficially owned by Yacktman Asset Management Co.; the undersigned holds 100% of the outstanding shares of capital stock of Yacktman Asset Management Co. (2) Based upon an aggregate of 13,409,603 shares outstanding at September 30, 2000. Page 2 of 7 Pages - ------------------------- CUSIP No. 249509100 - ------------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) The Yacktman Funds, Inc. - 36-3831621 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a)[ ] (b)[X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Maryland - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 841,100 SHARES -------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY -0- OWNED BY -------------------------------------------------------- 7 SOLE DISPOSITIVE POWER EACH -0- REPORTING -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER PERSON -0- WITH - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 841,100 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] Not Applicable - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.3%(1) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IV ================================================================================ (1) Based upon an aggregate of 13,409,603 shares outstanding at September 30, 2000. Page 3 of 7 Pages - ------------------------- CUSIP No. 249509100 - ------------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Yacktman Asset Management Co. - 36-3780592 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a)[ ] (b)[X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 46,400 SHARES -------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY -0- OWNED BY -------------------------------------------------------- 7 SOLE DISPOSITIVE POWER EACH 1,114,600 REPORTING -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER PERSON -0- WITH - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,114,600 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] Not Applicable - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.3%(1) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IA ================================================================================ (1) Based upon an aggregate of 13,409,603 shares outstanding at September 30, 2000. Page 4 of 7 Pages - ------------------------- CUSIP No. 249509100 - ------------------------- This Amendment No. 4 to the undersigned's Schedule 13G, which was originally filed on March 7, 1997 (the "Schedule 13G") with regard to Department 56 Incorporated (the "Issuer") is being filed to amend Item 4 of the Schedule 13G. Except as expressly stated herein, there have been no material changes in the information set forth in the Schedule 13G. Item 4. Ownership: - ------ --------- Donald A. Yacktman ------------------ (a) Amount Beneficially Owned: 1,234,600 (b) Percent of Class: 9.2% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 120,000 (ii) shared power to vote or to direct the vote: 46,400 (iii)sole power to dispose or to direct the disposition of: 120,000 (iv) shared power to dispose or to direct the disposition of: 1,234,600 The Yacktman Funds, Inc. ------------------------ (a) Amount Beneficially Owned: 841,100 (b) Percent of Class: 6.3% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 841,100 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: -0- Yacktman Asset Management Co. ---------------------------- (a) Amount Beneficially Owned: 1,114,600 (b) Percent of Class: 8.3% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 46,400 (ii) shared power to vote or to direct the vote: -0- (iii)sole power to dispose or to direct the disposition of: 1,114,600 (iv) shared power to dispose or to direct the disposition of: -0- Page 5 of 7 Pages - ------------------------- CUSIP No. 249509100 - ------------------------- Exhibits. 1. Agreement to file Schedule 13G jointly. 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. February 9, 2001 Date /s/ Donald A. Yacktman - ---------------------------------- Donald A. Yacktman THE YACKTMAN FUNDS, INC. By: /s/ Donald A. Yacktman - ---------------------------------- Donald A. Yacktman President YACKTMAN ASSET MANAGEMENT CO. By: /s/ Donald A. Yacktman - ---------------------------------- Donald A. Yacktman President Page 6 of 7 Pages EX-99.1 2 0002.txt AGREEMENT - ------------------------- CUSIP No. 249509100 - ------------------------- EXHIBIT 1 --------- AGREEMENT dated as of February 9, 2001, by and among Donald A. Yacktman ("Yacktman"), Yacktman Asset Management Co., an Illinois corporation ("Yacktman Asset Management") and The Yacktman Funds, Inc., a Maryland corporation (the "Yacktman Funds"). WHEREAS, in accordance with Rule 13d-1(k) of the Securities Exchange Act of 1934 (the "Act"), only one such statement need be filed whenever two or more persons are required to file a statement pursuant to Section 13(d) of the Act with respect to the same securities, provided that said persons agree in writing that such statement is filed on behalf of each of them. NOW, THEREFORE, in consideration of the premises and mutual agreements herein contained, the parties hereto agree as follows: Each of Yacktman, Yacktman Asset Management and The Yacktman Funds hereby agree, in accordance with Rule 13d-1(k) under the Act, to file one Statement on Schedule 13G relating to their ownership of the Common Stock of Department 56 Incorporated and hereby further agree that said Statement shall be filed on behalf of each of Yacktman, Yacktman Asset Management and The Yacktman Funds. Nothing herein shall be deemed to be an admission that the parties hereto, or any of them are members of a "group" (within the meaning of Section 13(d) of the Act and the rules promulgated thereunder) with respect to any securities of Department 56 Incorporated. IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first written above. /s/ Donald A. Yacktman ------------------------------------ Donald A. Yacktman THE YACKTMAN FUNDS, INC. By: /s/ Donald A. Yacktman ------------------------------------ Donald A. Yacktman President YACKTMAN ASSET MANAGEMENT CO. By: /s/ Donald A. Yacktman ------------------------------------ Donald A. Yacktman President Pae 7 of 7 Pages -----END PRIVACY-ENHANCED MESSAGE-----