-----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, GR+oOOP+84uTTopiR3j/UOFg03proRbMHgaqwQd9Bh8H5/ZqP3Mp9EmQ+CGwha+w kWxou5VC3VYk2mLBWjD8rg== 0000912057-97-024459.txt : 19970718 0000912057-97-024459.hdr.sgml : 19970718 ACCESSION NUMBER: 0000912057-97-024459 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970717 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CELLSTAR CORP CENTRAL INDEX KEY: 0000913590 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-ELECTRONIC PARTS & EQUIPMENT, NEC [5065] IRS NUMBER: 752479727 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42959 FILM NUMBER: 97641961 BUSINESS ADDRESS: STREET 1: 1730 BRIERCROFT DR CITY: CARROLLTON STATE: TX ZIP: 75006 BUSINESS PHONE: 2144665000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDFIELD ALAN H CENTRAL INDEX KEY: 0000946529 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1730 BRIERCROFT CT CITY: CARROLLTON STATE: TX ZIP: 75006 BUSINESS PHONE: 2144665029 SC 13D/A 1 SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6) CELLSTAR CORPORATION --------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE -------------------------------------- (Title of Class of Securities) 150925105 -------------- (CUSIP Number) ALAN H. GOLDFIELD 1730 BRIERCROFT COURT CARROLLTON, TX 75006 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) JULY 8, 1997 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box / /. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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 SCHEDULE 13D/A CUSIP No. 150925105 Page 2 of 7 Pages - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Alan H. Goldfield - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) /X/ of a Group* (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Source of Funds* N/A - ------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) / / - ------------------------------------------------------------------------------- (6) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of Shares (7) Sole Voting Power Beneficially Owned 10,183,750 by Each Reporting -------------------------------------------------- Person With (8) Shared Voting Power 0 -------------------------------------------------- (9) Sole Dispositive Power 9,153,055 -------------------------------------------------- (10) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 10,653,055 - ------------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares* / / - ------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 36.0% - ------------------------------------------------------------------------------- (14) Type of Reporting Person* IN - ------------------------------------------------------------------------------- CUSIP No. 150925105 13D/A Page 3 of 7 Pages ITEM 1. SECURITY AND ISSUER. Not amended. ITEM 2. IDENTITY AND BACKGROUND. Not amended. ITEM 3. SOURCE AND AMOUNT OF FUNDS AND OTHER CONSIDERATION. Not amended. ITEM 4. PURPOSE OF TRANSACTION. Sentence 4 of Item 4 is hereby amended to read as follows: The sales disclosed in Item 5 below were made in order to diversify Mr. Goldfield's holdings, to provide for liquidity and to build a house. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Item 5 is hereby amended in its entirety to read as follows: (a) Mr. Goldfield beneficially owns an aggregate of 10,653,055 shares, or approximately 36.0%, of the Common Stock of the Company. Mr. Goldfield beneficially owns 94,305 of such shares through his ownership of the Employee Options and 375,000 of such shares through his ownership of the 1995 Option. (b) Mr. Goldfield possesses sole voting power with respect to 10,183,750 shares of Common Stock and sole dispositive power with respect to 9,153,055 shares of Common Stock. Mr. Goldfield does not share voting or dispositive power with respect to any shares of Common Stock. CUSIP No. 150925105 13D/A Page 4 of 7 Pages (c) Over the period of time from July 3, 1997, through July 15, 1997, Mr. Goldfield disposed of direct ownership of 862,500 shares of Common Stock through open market sales as follows: NUMBER OF PROCEEDS PER DATE SHARES SOLD SHARE ---- ----------- ------------ 7/3/97 25,000 $32.025 7/3/97 37,500 $32.00 7/7/97 65,000 $32.260 7/7/97 25,000 $32.125 7/7/97 50,000 $32.125 7/8/97 400,000 $32.391 7/11/97 35,000 $33.50 7/14/97 90,000 $33.50 7/14/97 100,000 $33.578 7/15/97 35,000 $33.50 (d) To the best of Mr. Goldfield's knowledge and belief, Mr. Hong has the right to receive the dividends (if any) and proceeds from the sale of the 1,500,000 Option I Shares owned of record by Mr. Hong. (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. Not amended. CUSIP No. 150925105 13D/A Page 5 of 7 Pages ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. 7.1 Form of Revocable Proxy, dated June 2, 1995, given by Mr. Hong to Mr. Goldfield, relating to 1,000,000 Option I Shares.* 7.2 Form of Shareholders Agreement, dated July 20, 1995, by and between Mr. Goldfield and Motorola.* 7.3 Form of Stock Purchase Agreement, dated July 20, 1995, by and between the Company and Motorola.* - --------------------- * Previously filed as an exhibit to Mr. Goldfield's Schedule 13D dated June 2, 1995. CUSIP No. 150925105 13D/A Page 6 of 7 Pages 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: July 16, 1997 By: /s/ Alan H. Goldfield ----------------------------- Alan H. Goldfield CUSIP No. 150925105 13D/A Page 7 of 7 Pages EXHIBIT INDEX Number Description ------ ----------- 7.1 Form of Revocable Proxy, dated June 2, 1995, given by Mr. Hong to Mr. Goldfield, relating to 1,000,000 Option I Shares.* 7.2 Form of Shareholders Agreement, dated July 20, 1995, by and between Mr. Goldfield and Motorola.* 7.3 Form of Stock Purchase Agreement, dated July 20, 1995, by and between the Company and Motorola.* - ------------------ * Previously filed as an Exhibit to Mr. Goldfield's Schedule 13D dated June 2, 1995. -----END PRIVACY-ENHANCED MESSAGE-----