-----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, LgdxmNqTyYJtCS7tYWe1utAw8DZgqhIqWoXeZvE04rRqcvdda5aaPZXfvNHwvC6U 8GAqe9DzV9fgaFOhCTDzEQ== 0001126328-02-000016.txt : 20020414 0001126328-02-000016.hdr.sgml : 20020414 ACCESSION NUMBER: 0001126328-02-000016 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PRINCIPAL FINANCIAL GROUP INC CENTRAL INDEX KEY: 0001126328 STANDARD INDUSTRIAL CLASSIFICATION: ACCIDENT & HEALTH INSURANCE [6321] IRS NUMBER: 421520346 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392 BUSINESS PHONE: 5152475111 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: 02548780 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 SC 13G/A 1 maxwell.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Maxwell Shoe Company, Inc. (Name of Issuer) Common Stock (Title and Class of Securities) 577766108 (CUSIP Number) December 31, 2001 (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). CUSIP No. 577766108 Page 2 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Invista Capital Management, LLC 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) (b) 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF 5 SOLE VOTING POWER 0 SHARES BENEFICIALLY 6 SHARED VOTING POWER 103,774 OWNED BY EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING PERSON WITH 8 SHARED DISPOSITIVE POWER 103,774 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 103,774 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.2 12 TYPE OF REPORTING PERSON (See Instructions) IA CUSIP No. 577766108 Page 3 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Principal Financial Group, Inc. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) (b) 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF 5 SOLE VOTING POWER 0 SHARES BENEFICIALLY 6 SHARED VOTING POWER 103,774 OWNED BY EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING PERSON WITH 8 SHARED DISPOSITIVE POWER 103,774 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 103,774 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.2 12 TYPE OF REPORTING PERSON (See Instructions) HC CUSIP No. 577766108 Page 4 Item 1(a). Name of Issuer: Maxwell Shoe Company, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 101 Sprague Street, P.O. Box 37 Hyde Park, MA 02137 Item 2(a). Name of Person Filing: Invista Capital Management, LLC Principal Financial Group, Inc. Item 2(b). Address of Principal Business Office, or, if None, Residence: Invista Capital Management, LLC 699 Walnut 1900 Hub Tower Des Moines, IA 50309 Principal Financial Group, Inc. 711 High Street Des Moines, IA 50392-0088 Item 2(c). Citizenship: Invista Capital Management, LLC - State of Delaware Principal Financial Group, Inc. - State of Delaware Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Numbers: 577766108 Item 3. If this statement is filed pursuant to section 240.13d-1(b) or 240.13d 2(b) or (c), check whether the person filing is a: (e) [X] An investment adviser in accordance with section 240.13d 1(b)(1)(ii)(E) (g) [X] A parent holding company or control person in accordance with section 240.13d-1(b)(1)(ii)(G) Item 4. Ownership: (a) Amount Beneficially Owned 103,774 Shares Common Stock presently held by Invista Capital Management, LLC 103,774 Shares Common Stock presently held by Principal Financial Group, Inc. CUSIP No. 577766108 Page 5 (b) Percent of Class 1.2 Invista Capital Management, LLC 1.2 Principal Financial Group, Inc. (c) Number of shares as to which the person has: (i) Sole Power to Vote or Direct the Vote 0 Invista Capital Management, LLC 0 Principal Financial Group, Inc. (ii) Shared Power to Vote or Direct the Vote 103,774 Shares Common Stock presently held by Invista Capital Management, LLC 103,774 Shares Common Stock presently held by Principal Financial Group, Inc. (iii) Sole Power to Dispose or to Direct the Disposition of 0 Invista Capital Management, LLC 0 Principal Financial Group, Inc. (iv) Shared Power to Dispose or to Direct the Disposition of 103,774 Shares Common Stock presently held by Invista Capital Management, LLC 103,774 Shares Common Stock presently held by Principal Financial Group, Inc. Item 5. Ownership of Five Percent or Less of a Class: [X] Item 6. Ownership of More than Five Percent on Behalf of Another Person N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company See Exhibit attached CUSIP No. 577766108 Page 6 Item 8. Identification and Classification of Members of the Group N/A Item 9. Notice of Dissolution of Group N/A Item 10(b). Certification By signing below I certify, to the best of my knowledge and belief, the securities referred to above were not acquired and are held in the ordinary course of business and 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. 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. Invista Capital Management, LLC By /s/ Tim Howald Tim Howald, Chief Financial and Compliance Officer Principal Financial Group, Inc. By: Invista Capital Management, LLC By /s/ Tim Howald Tim Howald, Chief Financial and Compliance Officer Dated Wednesday, February 13, 2002 EXHIBIT 99.1 Invista Capital Management, LLC Item 3 Classification: (e) Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 Principal Life Insurance Company Item 3 Classification: (c) An Insurance Company as defined in section 3(a)(19) of the Act (15 U.S.C. 78) -----END PRIVACY-ENHANCED MESSAGE-----