-----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, AW+wyzk7mYsJUQ97EmTRNfPkZ+WwPw9ckZx1ouIQJgku1D/z+dvwpWM3rfVYbe45 V7NLn1tJuKPxmbzwlV56rA== 0001099281-02-000179.txt : 20020813 0001099281-02-000179.hdr.sgml : 20020813 20020812182051 ACCESSION NUMBER: 0001099281-02-000179 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20020813 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46814 FILM NUMBER: 02727795 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: EQSF ADVISERS INC CENTRAL INDEX KEY: 0001099281 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 767 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10017-2023 SC 13G/A 1 maxwell.txt 13 G/A FILING SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1) MAXWELL SHOE COMPANY INC. ------------------------------------------------------ (NAME OF ISSUER) CLASS A COMMON STOCK, $.01 PAR VALUE PER SHARE ------------------------------------------------------ (TITLE OF CLASS OF SECURITIES) 577766108 ------------------------------------------------------ (CUSIP NUMBER) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] 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 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). - - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS EQSF ADVISERS, INC. (EIN 13-3354359) - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 3 SEC USE ONLY - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK CORPORATION - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 5 SOLE VOTING POWER 355,050 NUMBER OF --------------------------------------------------------------- --------------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY None --------------------------------------------------------------- --------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 788,400 --------------------------------------------------------------- --------------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER None - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 788,400 - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.06% - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IA - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS M.J. WHITMAN ADVISERS, INC. (EIN 13-3686379) - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 3 SEC USE ONLY - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK CORPORATION - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 5 SOLE VOTING POWER NONE NUMBER OF --------------------------------------------------------------- --------------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY NONE --------------------------------------------------------------- --------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON NONE --------------------------------------------------------------- --------------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER NONE - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) -0- - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IA - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS MARTIN J. WHITMAN - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 3 SEC USE ONLY - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 5 SOLE VOTING POWER NUMBER OF NONE (SEE ITEM 4) --------------------------------------------------------------- --------------------------------------------------------------- 6 SHARED VOTING POWER SHARES NONE BENEFICIALLY OWNED BY --------------------------------------------------------------- --------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING NONE (SEE ITEM 4) --------------------------------------------------------------- --------------------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER NONE - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- (SEE ITEM 4) - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) -0- - - ------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN - - ------------------------------------------------------------------------------ ITEM 1. (A) NAME OF ISSUER: Maxwell Shoe Company Inc. (the "Issuer"). (B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES OR,IF NONE, RESIDENCE: 10 Sprague Street, P.O. Box 37, Hyde Park (Boston), MA 02317 ITEM 2. (A) NAME OF PERSON FILING: This schedule is being jointly filed by EQSF Advisers, Inc. ("EQSF"), M.J. Whitman Advisers, Inc. ("MJWA") and Martin J. Whitman, the Chief Executive Officer of EQSF and Chief Investment Officer of MJWA and controlling person of EQSF and MJWA. (EQSF, MJWA and Martin J. Whitman are sometimes collectively referred to hereinafter as "Filer"). Attached hereto as an exhibit is a copy of the joint Schedule 13G filing agreement among the reporting persons. (B) ADDRESS OF PRINCIPAL BUSINESS OFFICE: The address of the principal executive office of EQSF, MJWA and Mr. Whitman is: 767 Third Avenue, New York, New York 10017-2023. (C) CITIZENSHIP: The citizenship or place of organization of each of the reporting persons is as follows: EQSF New York State Corporation. MJWA New York State Corporation. MARTIN J. WHITMAN United States Citizen. (D) TITLE OF CLASS OF SECURITIES: Class A Common Stock, $.01 par value per share. (E) CUSIP NUMBER: 577766108 ITEM 3. IF THIS STATEMENT IS BEING FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A: (E) Investment Adviser registered under section 203 OF THE INVESTMENT ADVISERS ACT OF 1940 (EQSF and MJWA). ITEM 4. OWNERSHIP. (a)& (b) EQSF beneficially owns 788,400 shares, or 5.60% of the class of securities of the issuer. MJWA beneficially owns 0 shares, or 0.0% of the class of securities of the issuer. (c) (i) EQSF: 355,050 MJWA: 0 (ii) Not applicable. (iii) EQSF: 788,400 MJWA: 0 (iv) Not applicable. Mr. Whitman disclaims beneficial ownership of all such shares. 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. Third Avenue Small-Cap Value Fund, an investment company registered under the Investment Company Act of 1940, has the right to receive dividends from, and the proceeds from the sale of, 171,000 of the shares reported by EQSF, Third Avenue Variable Series Trust of the Third Avenue Value Portfolio, an investment company registered under the Investment Company Act of 1940, has the right to receive dividends from, and the proceeds from the sale of, 141,950 of the shares reported by EQSF, Quintara Small Cap Value Fund, an investment company registered under the Investment Company Act of 1940, has the right to receive dividends from, and the proceeds from the sale of, 2,400 of the shares reported by EQSF, American Express Partners Small-Cap Value Fund, an investment company registered under the Investment Company Act of 1940, has the right to receive dividends from, and the proceeds from the sale of, 395,250 of the shares reported by EQSF, American Express Partners Variable Annuity Fund, an investment company registered under the Investment Company Act of 1940, has the right to receive dividends from, and the proceeds from the sale of, 38,100 of the shares reported by EQSF, and Met Investors Series Trust-Third Avenue Small Cap Portfolio, an investment company registered under the Investment Company Act of 1940, has the right to receive dividends from, and the proceeds from the sale of, 39,700 of the shares reported by EQSF. Various clients for whom MJWA acts as investment advisor have the right to receive dividends from, and the proceeds of the sale of, the shares reported by MJWA. 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. 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 or effect. 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. August 12, 2002 --------------------------- (Date) EQSF ADVISERS, INC. BY:/S/ MARTIN J. WHITMAN ------------------------ Martin J. Whitman Chairman, and Chief Executive Officer M.J. WHITMAN ADVISERS, INC. BY:/S/ MARTIN J. WHITMAN ---------------------- Martin J. Whitman Chairman and Chief Investment Officer /S/ MARTIN J. WHITMAN ----------------------- Martin J. Whitman, President EX-1 3 maxwelljoint.txt JOINT FILING AGREEMENT Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1 (f) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Entities (as such term is defined in the Schedule 13G) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Class A Common Stock, $.01 par value per share, of Maxwell Shoe Company, Inc., and that this Agreement be included as an Exhibit to such joint filing. This Agreement may be executed in any number of counterparts all of which taken together shall constitute one and the same instrument. IN WITNESS WHEREOF, the undersigned hereby execute this Agreement this 12th day of August, 2002. EQSF ADVISERS, INC. By:/s/ MARTIN J. WHITMAN -------------------------- Martin J. Whitman Chairman and Chief Executive Officer M.J. WHITMAN ADVISERS, INC. By:/s/ MARTIN J. WHITMAN -------------------------- Martin J. Whitman Chairman and Chief Investment Officer /s/ MARTIN J. WHITMAN -------------------------- Martin J. Whitman -----END PRIVACY-ENHANCED MESSAGE-----