-----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, CLi65foeiw4XQejWb00JVLqkZanHRDk+gjshUxlNQylBP6+pfChcaCH0GA4DVje8 vRQIfQ/7aE+/fkphOVwWVA== 0000917325-97-000026.txt : 19970222 0000917325-97-000026.hdr.sgml : 19970222 ACCESSION NUMBER: 0000917325-97-000026 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 19970212 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: D M MANAGEMENT CO CENTRAL INDEX KEY: 0000910721 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-CATALOG & MAIL-ORDER HOUSES [5961] IRS NUMBER: 042973769 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45515 FILM NUMBER: 97527322 BUSINESS ADDRESS: STREET 1: 25 RECREATION PARK DR STREET 2: STE 200 CITY: HINGHAM STATE: MA ZIP: 02043 BUSINESS PHONE: 6177402718 MAIL ADDRESS: STREET 1: 25 RECREATION PARK DRIVE SSTE 200 CITY: HINGHAM STATE: MA ZIP: 052043 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: COWEN & CO /NY NEW CENTRAL INDEX KEY: 0000917325 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 135616116 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: FINANCIAL SQUARE STREET 2: THIRTY FIRST FLOOR CITY: NEW YORK STATE: NY ZIP: 10005-3597 BUSINESS PHONE: 2124955618 MAIL ADDRESS: STREET 1: FINANCIAL SQUARE STREET 2: 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10005-3597 SC 13G/A 1 SCHEDULE 13G Amendment No. 1 DM Management Co. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 233233105 (CUSIP Number) 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Cowen & Company I.R.S. Identification No. 13-5616116 2. Check the Appropriate Box if a Member of a Group (a) / / (b) / X / 3. SEC Use Only 4. Citizenship or Place of Organization New York, New York 5. Sole Voting Power 0 6. Shared Voting Power 0 7. Sole Dispositive Power 0 8. Shared Dispositive Power 0 9. Aggregate Amount Beneficially Owned By Each Reporting Person 110,000 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares * N/A 11. Percent of Class Represented by Amount in Row 9 2.47% 12. Type of Reporting Person * BD, IA SCHEDULE 13G Amendment No. 1 DM Management Co. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 233233105 (CUSIP Number) 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Cowen Incorporated 2. Check the Appropriate Box if a Member of a Group (a) / / (b) / X / 3. SEC Use Only 4. Citizenship or Place of Organization New York, New York 5. Sole Voting Power 0 6. Shared Voting Power 0 7. Sole Dispositive Power 0 8. Shared Dispositive Power 0 9. Aggregate Amount Beneficially Owned By Each Reporting Person 110,000 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares * N/A 11. Percent of Class Represented by Amount in Row 9 2.47% 12. Type of Reporting Person * HC, CO SCHEDULE 13G Amendment No. 1 DM Management Co. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 233233105 (CUSIP Number) 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Joseph Cohen 2. Check the Appropriate Box if a Member of a Group (a) / / (b) / X / 3. SEC Use Only 4. Citizenship or Place of Organization New York, New York 5. Sole Voting Power 0 6. Shared Voting Power 0 7. Sole Dispositive Power 0 8. Shared Dispositive Power 0 9. Aggregate Amount Beneficially Owned By Each Reporting Person 110,000 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares * N/A 11. Percent of Class Represented by Amount in Row 9 2.47% 12. Type of Reporting Person * IN Item 1 (a) DM Management Co. (b) 25 Recreation Park Dr., Suite 200 Hingham, MA 02043 Item 2 (a) Name of Person Filing: (b) Address of Principal Business Offices: (c) Citizenship: This statement is filed by the following persons (collectively, the "Reporting Persons"): Cowen & Company Financial Square New York, NY 10005-3597 (New York Limited Partnership) Cowen Incorporated Financial Square New York, NY 10005-3597 (New York Corporation) Joseph M. Cohen Financial Square New York, NY 10005-3597 (d) Common Stock (e) 233233105 Item 3 IF THE STATEMENT IS FILED PURSUANT TO RULE 13a-l(a) OR 13 d-2(b), CHECK WHETHER THE PERSON FILING IS: (a) [ X ] Broker or Dealer registered under section 15 of the Act: Cowen & Company (e) [ X ] Investment advisor registered under section 203 of the Investment Advisers Act of 1940: Cowen & Company (g) [ X ] Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G): Cowen Incorporated Joseph M. Cohen (an individual who may be deemed to control Cowen Incorporated.) Item 4 OWNERSHIP Cowen & Company; Cowen Incorporated; Joseph M. Cohen (a) 110,000 (b) 2.47% (c) (i) 0 (ii) 0 (iii) 0 (iv) 0 Item 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ X ]. Item 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON As a broker-dealer and an investment adviser, Cowen & Company holds a portion of the securities on behalf of its clients, none of whose individual interests exceeds five percent. ITEM 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED BY THE PARENT HOLDING COMPANY See Item 3(g) and Exhibit A. 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 acquired in the ordinary course of business and 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 of 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. February 12, 1997 COWEN & COMPANY By: Cowen Incorporated, General Partner By: /s/ David R. Sarns David R. Sarns, Managing Director COWEN INCORPORATED By: /s/ David R. Sarns David R. Sarns, Managing Director JOSEPH M. COHEN By: /s/ Joseph M. Cohen Joseph M. Cohen EX-99.7 2 13G Cusip No. 233233105 EXHIBIT A RELEVANT SUBSIDIARIES OF PARENT HOLDING COMPANIES Parent Holding Companies: Cowen Incorporated Joseph M. Cohen (an individual who may be deemed to control Cowen Incorporated) Relevant Subsidiary Which is a Broker-Dealer and Investment Advisor: Cowen & Company EX-99.10 3 13G Cusip No. 233233105 EXHIBIT B JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the shares of Common Stock of DM Management Co., dated February 12, 1997 is and any amendments thereto signed by each of the undersigned shall be, filed on behalf of each of them pursuant to and in accordance with the provisions of Rule 13d-1(f) under the Securities Exchange Commission Act of 1934. Dated: February 12, 1997 COWEN & COMPANY By: Cowen Incorporated, General Partner By: /s/ David R. Sarns David R. Sarns, Managing Director COWEN INCORPORATED By: /s/ David R. Sarns David R. Sarns, Managing Director JOSEPH M. COHEN By: /s/ Joseph M. Cohen Joseph M. Cohen -----END PRIVACY-ENHANCED MESSAGE-----