-----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, RUn8glqnhaHLIZ+ci8vvYFCkdlfL7hO4oCjHnys9PfdMAMzf3/vvJ5lpfBJ3t6Cj kX7IseEMjfs/gbM7h5VMvw== 0000950134-00-000547.txt : 20000203 0000950134-00-000547.hdr.sgml : 20000203 ACCESSION NUMBER: 0000950134-00-000547 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000127 GROUP MEMBERS: FALCON FUND LTD GROUP MEMBERS: FALCON FUND MANAGEMENT, LTD. GROUP MEMBERS: FFM GP, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MAXWELL SHOE CO INC CENTRAL INDEX KEY: 0000918578 STANDARD INDUSTRIAL CLASSIFICATION: FOOTWEAR, (NO RUBBER) [3140] IRS NUMBER: 042599205 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-43801 FILM NUMBER: 514631 BUSINESS ADDRESS: STREET 1: 101 SPRAGUE ST STREET 2: P O BOX 37 CITY: READVILLE STATE: MA ZIP: 02137 BUSINESS PHONE: 6173645090 MAIL ADDRESS: STREET 1: 101 SPRAGUE STREET STREET 2: P O BOX 37 CITY: READVILLE STATE: MA ZIP: 02137 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FALCON FUND LTD CENTRAL INDEX KEY: 0000868846 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 752345424 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 8235 DOUGLAS AVE STREET 2: SUITE 420 CITY: DALLAS STATE: TX ZIP: 75225 BUSINESS PHONE: 2146962700 MAIL ADDRESS: STREET 1: 8235 DOUGLAS AVE STREET 2: SUITE 420 CITY: DALLAS STATE: TX ZIP: 75225 SC 13G 1 SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(c) AND AMENDMENTS FILED PURSUANT TO 13d-2(b) MAXWELL SHOE COMPANY INC. ------------------------- (Name of Issuer) Class A Common Stock, $0.01 Par Value Per Share ----------------------------------------------- (Title of Class of Securities) 577766108 --------- (CUSIP Number) January 19, 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. [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) 2 SCHEDULE 13G CUSIP NO. 577766108 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON Falcon Fund, Ltd. 75-2345424 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Texas NUMBER OF 5. SOLE VOTING POWER None SHARES BENEFICIALLY 6. SHARED VOTING POWER 500,000 OWNED BY EACH 7. SOLE DISPOSITIVE POWER None REPORTING PERSON 8. SHARED DISPOSITIVE POWER 500,000 WITH 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 500,000 10. CHECK BOX IF THAT AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.7% 12. TYPE OF REPORTING PERSON PN 3 SCHEDULE 13G CUSIP NO. 577766108 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON Falcon Fund Management, Ltd. 75-2767909 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Texas NUMBER OF 5. SOLE VOTING POWER None SHARES BENEFICIALLY 6. SHARED VOTING POWER 500,000 (1) OWNED BY EACH 7. SOLE DISPOSITIVE POWER None REPORTING PERSON 8. SHARED DISPOSITIVE POWER 500,000 (1) WITH 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 500,000 (1) 10. CHECK BOX IF THAT AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.7% 12. TYPE OF REPORTING PERSON PN 4 (1) Falcon Fund Management, Ltd., as General Partner of Falcon Fund, Ltd., has voting and dispositive power with respect to the aggregate shares of Common Stock held by Falcon Fund, Ltd. 5 SCHEDULE 13G CUSIP NO. 577766108 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON FFM GP, Inc. 45-2767908 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Texas NUMBER OF 5. SOLE VOTING POWER None SHARES BENEFICIALLY 6. SHARED VOTING POWER 500,000 (1) OWNED BY EACH 7. SOLE DISPOSITIVE POWER None REPORTING PERSON 8. SHARED DISPOSITIVE POWER 500,000 (1) WITH 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 500,000 (1) 10. CHECK BOX IF THAT AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.7% 12. TYPE OF REPORTING PERSON CO 6 (1) FFM GP, Inc. as General Partner of Falcon Fund Management, Ltd., has voting and dispositive power with respect to the aggregate shares of Common Stock held by Falcon Fund, Ltd. 7 SCHEDULE 13G ITEM 1(a). NAME OF ISSUER: Maxwell Shoe Company Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 101 Sprauge Street P.O. Box 37 Boston, MA 02137 ITEM 2(a). NAME OF PERSON FILING: Falcon Fund, Ltd., Falcon Fund Management, Ltd., a Texas limited partnership a Texas limited partnership FFM GP, Inc. a Texas corporation ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 8235 Douglas Avenue, Suite 420, Dallas, Texas 75225 ITEM 2(c). CITIZENSHIP: United States ITEM 2(d). TITLE OF CLASS OF SECURITIES: Class A Common Stock, $0.01 Par Value Per Share ITEM 2(e). CUSIP NUMBER: 577766108 ITEM 3. If this statement if filed pursuant to Rule 13d-1(c) or 13d-2(b) or (c), check whether the person filing is a: (a) through (j) are not applicable If this statement is filed pursuant to Rule 13d-1(c), check this box [X] ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 500,000 shares (b) Percent of Class: 5.7% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: None. (ii) Shared power to vote or to direct the vote: 500,000 (iii) Sole power to dispose or to direct the disposition of: None (iv) Shared power to dispose or to direct the disposition of: 500,000 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 [ ]. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. FFM GP, Inc., as General Partner of Falcon Fund Management, Ltd., as General Partner of Falcon Fund, Ltd., has the power to direct the receipt of dividends from, or the proceeds from the sale of, the Common Stock held by Falcon Fund, Ltd. reported herein in the manner prescribed by the partnership agreement of Falcon Fund, Ltd. 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. 8 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 not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Exhibits: The following is filed as an exhibit to this Statement on Schedule 13G: Exhibit A Agreement to File Statement 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. Falcon Fund, Ltd. By: Falcon Fund Management, Ltd., its General Partner By: FFM GP, Inc., its general partner By: /s/ G. Houston Hall ------------------------------- G. Houston Hall, President Falcon Fund Management, Ltd. By: FFM GP, Inc., its general partner By: /s/ G. Houston Hall ------------------------------- G. Houston Hall, President 9 FFM GP, Inc. By: /s/ G. Houston Hall ------------------------------- G. Houston Hall, President 10 Agreement to File Statement The undersigned hereby agree to file Schedule 13G on behalf of each of them relating to purchases of the common stock of Maxwell Shoe Company Inc. by Falcon Fund, Ltd. Falcon Fund, Ltd. By: Falcon Fund Management, Ltd., its General Partner By: FFM GP, Inc., its general partner By: /s/ G. Houston Hall ------------------------------- G. Houston Hall, President Falcon Fund Management, Ltd. By: FFM GP, Inc., its general partner By: /s/ G. Houston Hall ------------------------------- G. Houston Hall, President FFM GP, Inc. By: /s/ G. Houston Hall ------------------------------- G. Houston Hall, President -----END PRIVACY-ENHANCED MESSAGE-----