-----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, T0sHZnUjrYOnWUJaz7t6sJ/tP4aH69hBsDr6BJYvnXEOJxBgmAHijdy/4pl+H2Kl Cw3RQ64nPCKCO4rSDa0Q4w== 0000003327-97-000006.txt : 19970310 0000003327-97-000006.hdr.sgml : 19970310 ACCESSION NUMBER: 0000003327-97-000006 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970307 SROS: NYSE GROUP MEMBERS: BEL FEBRUARY 1996 GRANTOR ANNITY TRUST GROUP MEMBERS: BEL JANUARY 1995 GRANTOR ANNITY TRUST GROUP MEMBERS: BERNICE E. LAVIN TRUST U/A/D 12/18/87 GROUP MEMBERS: LAVIN BERNICE E SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALBERTO CULVER CO CENTRAL INDEX KEY: 0000003327 STANDARD INDUSTRIAL CLASSIFICATION: PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS [2844] IRS NUMBER: 362257936 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-10375 FILM NUMBER: 97552118 BUSINESS ADDRESS: STREET 1: 2525 ARMITAGE AVE CITY: MELROSE PARK STATE: IL ZIP: 60160 BUSINESS PHONE: 7084503039 MAIL ADDRESS: STREET 1: 2525 ARMITAGE AVENUE CITY: MELROSE PARK STATE: IL ZIP: 60160 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LAVIN BERNICE E CENTRAL INDEX KEY: 0000904860 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 2525 ARMITAGE AVENUE CITY: MELROSE PARK STATE: IL ZIP: 60160 MAIL ADDRESS: STREET 1: 2525 ARMITAGE AVENUE CITY: MELROSE PARK STATE: IL ZIP: 60160 SC 13D/A 1 BEL SECHEDULE 13D AMEND. NO. 7 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. 7 )* ALBERTO-CULVER COMPANY (Name of Issuer) CLASS B COMMON STOCK, $.22 PAR VALUE PER SHARE (Title of Class of Securities) 013068101 (CUSIP Number) Marshall E. Eisenberg (312)269-8020 Bernice E. Lavin NEAL, GERBER & EISENBERG 2525 Armitage Avenue Two North LaSalle St., Suite 2200 Melrose Park, IL 60160 Chicago, IL 60602 (708) 450-3101 - -------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 23, 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 . Check the following box if a fee is being paid with the statement . (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) 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 disclosure 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). (Continued on following page(s)) Page 1 of 8 Pages - ---------------------- --------------------- CUSIP NO. 013068101 13D Page 2 of 8 Pages - ---------------------- --------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bernice E. Lavin - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) (b) X - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS * Not applicable. - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. citizen - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER 2,664,868 OF SHARES ------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 180,300 ------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 2,664,868 ------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 180,300 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,845,168 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * Excluded are 2,781,378 Class B shares held by Lavin's spouse as trustee or co-trustee of trusts for his benefit. Lavin has no beneficial interest in such shares and beneficial interest in them is disclaimed. X - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11). 16.97% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON * IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - ---------------------- --------------------- CUSIP NO. 013068101 13D Page 3 of 8 Pages - ---------------------- --------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bernice E. Lavin Trust u/a/d 12/18/87 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) (b) x - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS * Not applicable - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois Trust - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER 1,860,530 OF SHARES ------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY -0- ------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 1,860,530 ------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,860,530 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * Not applicable. X - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11). 11.10% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON * 00 - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - ---------------------- --------------------- CUSIP NO. 013068101 13D Page 4 of 8 Pages - ---------------------- --------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BEL February 1996 Grantor Annuity Trust - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) (b) x - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS * Not applicable - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois Trust - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER 477,474 OF SHARES ------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY -0- ------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 477,474 ------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH -0- - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 477,474 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * Not applicable. - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11). 2.85% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON * 00 - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - ---------------------- --------------------- CUSIP NO. 013068101 13D Page 5 of 8 Pages - ---------------------- --------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BEL January 1995 Grantor Annuity Trust - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) (b) x - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS * Not applicable - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois Trust - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER 0 OF SHARES ------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 ------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 ------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * Not applicable. - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11). 0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON * 00 - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------------ --------------------- CUSIP NO. 013068101 13D Page 6 of 8 Pages - ------------------------ --------------------- Item 1. Security and Issuer. Title of Class of Securities: Class B Common Stock, $.22 par value per share (the "shares" or "Class B shares") Name and Address of Issuer: Alberto-Culver Company (the "Company") 2525 Armitage Avenue Melrose Park, IL 60160 Item 2. Identity and Background. (a) Name of Person Filing: (1) Bernice E. Lavin ("Lavin") (2) BEL February 1996 Grantor Annuity Trust ("February Trust") (3) Bernice E. Lavin Trust u/a/d 12/18/87 ("December Trust") (4) BEL January 1995 Grantor Annuity Trust ("January Trust") (b) Address: 1), 2), 3) and 4) c/o Bernice E. Lavin 2525 Armitage Avenue Melrose Park, IL 60160 (c) Principal Business: 1) Lavin is a Director, Vice Chairman, Secretary and Treasurer of the Company 2) Trust Administration 3) Trust Administration 4) Trust Administration (d) Prior Criminal Convictions: None (e) Prior Civil Proceedings With Respect to Federal or State Securities Laws: None (f) Place of Organization: (1) U.S. citizen (2) Illinois trust (3) Illinois trust (4) Illinois trust Item 3. Source and Amount of Funds or Other Consideration. On January 23, 1997, Lavin, as co-trustee of the January Trust, transferred (i) 109,030, 109,030 and 109,030 Class B shares to Carol L. Bernick ("Mrs. Bernick"), as trustee or co-trustee of the trusts for the benefit of Lavin's adult children, including Mrs. Bernick and (ii) 3,371 Class B shares to herself as beneficiary. In addition, on January 23, 1997, Lavin as co-trustee of the February Trust, transferred 1,322,526 Class B shares to herself as beneficiary. Lastly, on January 23, 1997, Lavin individually transferred 1,325,897 Class B shares to herself as trustee of the December Trust. Item 4. Purpose of Transaction. Transfers of securities were for the Lavin family's estate planning rather than corporate purposes. The transfers were not undertaken for purposes of effecting any of the actions listed in this item. Item 5. Interest in Securities of the Issuer. (a) (i) Amount of Class B Common Stock Beneficially Owned: 2,845,168 shares total: 1,860,530 shares as trustee of the December Trust; 477,474 shares as co-trustee of the February Trust; 30,000 shares by Lavin Family Foundation (a charitable foundation of which Lavin is the Treasurer and a Director); and 150,300 shares and 326,864 shares, respectively, as co-trustee of a trust and sole trustee of trusts, respectively, for the benefit of Lavin's children and grandchildren. - --------------------- --------------------- CUSIP NO. 013068101 13D Page 7 of 8 Pages - --------------------- --------------------- (ii) Percentage of Class B Common Stock: 16.97% total: 11.10% as trustee of the December Trust; 2.85% as co-trustee of the February Trust; .18% by Lavin Family Foundation; and .9% and 1.9%, respectively, as co-trustee of a trust and sole trustee of trusts, respectively, for the benefit of Lavin's children and grandchildren (based upon 16,766,240 shares outstanding as of January 23, 1997). (b) Number of Shares as to Which Such Person Has: January February December Lavin Trust Trust Trust (i) Sole power to vote: 2,664,868(1) -0- 477,474(1) 1,860,530(1) (ii) Shared power to vote: 180,300(2) -0- -0- -0- (iii) Sole power to dispose: 2,664,868(1) -0- 477,474(1) 1,860,530(1) (iv) Shared power to dispose 180,300(2) -0- -0- -0- (1) The above shares shown as owned by the February Trust and December Trust are reflected as sole power of Lavin and the trust because Lavin has sole voting and investment power with respect to the shares held by the trust. 326,864 shares are held as sole trustee of trusts for the benefit of Lavin's children and grandchildren. (2) 30,000 shares are held by Lavin Family Foundation; and 150,300 shares are held as co-trustee of a trust for the benefit of one of Lavin's adult children. Lavin shares the power to vote and dispose of the 30,000 shares held by Lavin Family Foundation with her husband, Leonard H. Lavin, and Mrs. Bernick. Lavin is co-trustee together with Mrs. Bernick of a trust for the benefit of Mrs. Bernick which holds 150,300 shares. The following information is presented with respect to Leonard H. Lavin and Bernick, respectively. (i) Name of Person: Leonard H. Lavin Carol L. Bernick (ii) Address: 2525 Armitage Avenue Melrose Park, Illinois 60160 (iii) Principal Business: Leonard H. Lavin, an individual, is a Director and the Chairman of the Company. Carol L. Bernick, an individual, is a Director and Executive Vice President and Assistant Secretary of the Company and the President of Alberto-Culver USA, Inc., a subsidiary of the Company. (iv) Prior Criminal None Convictions: (v) Prior Civil Proceedings None with Respect to Federal or State Securities Laws: - ---------------------- -------------------- CUSIP NO. 013068101 13D Page 8 of 8 Pages - ---------------------- -------------------- (vi) Place of Organization: U.S. Citizen An additional 2,781,378 shares are held by Lavin's husband as trustee or co-trustee of trusts for his benefit. Lavin has no beneficial interest in such shares and beneficial ownership of them is disclaimed. The shares owned by Lavin and the percentage holdings specified herein also do not reflect the 271,244 shares of Class A common stock of the Company held by Lavin Family Foundation, or 50,100 shares and 217,240 shares of the Company Class A common stock, respectively, held by Lavin solely in her capacity as co-trustee of a trust and sole trustee of trusts, respectively, for the benefit of Lavin's children and grandchildren. (c) None, except as indicated in Item 3. (d) None. (e) On January 23, 1997, the February Trust and January Trust ceased to hold greater than 5% of a class of securities. The January Trust currently holds no equity securities of the Company. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None. Item 7. Material to be Filed as Exhibits. None. 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: March 5, 1997 Signature: /s/ Bernice E. Lavin Name/Title: Bernice E. Lavin, individually; as co-trustee of the BEL February 1996 Grantor Annuity Trust; as trustee of the Bernice E. Lavin Trust u/a/d 12/18/87; as co-trustee of the BEL January 1995 Grantor Annuity Trust; as co-trustee of another trust; and as sole trustee of trusts for the benefit of her children and grandchildren -----END PRIVACY-ENHANCED MESSAGE-----