-----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, BJ4ii5Qg65nBNxdf97hk7SpZ2ZG+Cz0V2jwqtpterRXxYU9aDApbIa+kC0AhJ4MF lARtRCJvsnFTYBm3s6WMhg== 0000950131-99-006850.txt : 19991230 0000950131-99-006850.hdr.sgml : 19991230 ACCESSION NUMBER: 0000950131-99-006850 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991229 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 SEC ACT: SEC FILE NUMBER: 005-10375 FILM NUMBER: 99782949 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 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 1 SCHEDULE 13/D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. 5 )* ------------- ALBERTO-CULVER COMPANY - -------------------------------------------------------------------------------- (Name of Issuer) CLASS A COMMON STOCK, $.22 PAR VALUE PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 013068200 ----------------------------------------- (CUSIP Number) Marshall E. Eisenberg (312) 269-8020 Bernice E. Lavin NEAL, GERBER & EISENBERG 2525 Armitage Avenue Two North LaSalle Street, Suite 2200 Melrose Park, Illinois 60160 Chicago, Illinois 60602 (708) 450-3101 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 15, 1999 ----------------------------------- (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 Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [_]. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule including all exhibits. See Rule 240.13d-7 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 pages(s)) Page 1 of 6 Pages - ----------------------- --------------------- CUSIP NO. 013068200 13D Page 2 of 6 Pages - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bernice E. Lavin - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 Not applicable. - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 U.S. Citizen - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 4,285,146** SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 1,370,178** OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 4,285,146** PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 1,370,178** - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 5,655,324** - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [X] Excluded are 4,234,382 Class B shares and 922 Class B shares held by Lavin's spouse as trustee of a trust for his benefit and directly, respectively. Lavin disclaims beneficial ownership of such shares. - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11). 13 20.61%** - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 IN - ------------------------------------------------------------------------------ * See Instructions ** Includes shares of Class B Common Stock, $.22 par value per share ("Class B shares"), which are immediately convertible at the holder's option on a share for share basis into Class A shares. - ----------------------- --------------------- CUSIP NO. 013068200 13D Page 3 of 6 Pages - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bernice E. Lavin Trust u/a/d 12/18/87 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 Not applicable - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 Illinois Trust - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 3,409,948** SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 -0- OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 3,409,948** PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 -0- - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 3,409,948** - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] Not applicable. - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11). 13 13.05% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 00 - ------------------------------------------------------------------------------ * See Instructions ** Includes Class B shares which are immediately convertible at the holder's option on a share for share basis into Class A shares. CUSIP No. 013068200 SCHEDULE 13D Page 4 of 6 - -------------------------------------------------------------------------------- Item 1. Security and Issuer. Title of Class of Securities: Class A common stock, $.22 par value per share ("Class A 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) Bernice E. Lavin Trust, u/a/d 12/18/87 ("December Trust") (b) Address: 1) and 2) c/o Bernice E. Lavin 2525 Armitage Avenue Melrose Park, IL 60160 (c) Principal Business: (1) Lavin, an individual, is a Director, Vice Chairman, Secretary and Treasurer of the Company (2) Trust Administration (d) Prior Criminal Convictions: None (e) Prior Civil Proceedings With Respect to Federal or State Securities Laws: None (f) Citizenship/Organization: (1) U.S. Citizen (2) Illinois Trust Item 3. Source and Amount of Funds or Other Consideration. On December 15, 1999, Lavin, as a director and an officer of the Lavin Family Foundation (a charitable foundation of which Lavin is the Treasurer and a Director), transferred 46,510 Class A shares to the Lavin Family Supporting Foundation, a public charitable foundation. Item 4. Purpose of Transaction. The transfer of the Class A shares was for the Lavin family's estate planning rather than corporate purposes. The transfer was 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 A Shares Beneficially Owned: 5,655,324 shares total; 294 Class B shares held directly; 3,409,884 Class B shares and 64 Class A shares held as trustee of the December Trust; 393,440 Class A shares and 481,464 Class B shares held as trustee of various trusts for the benefit of her children and grandchildren; 100,200 Class A shares and 300,600 Class B shares held as co-trustee of a trust for the benefit of Carol L. Bernick, Lavin's daughter; and 449,378 Class A shares and 520,000 Class B shares held by Lavin Family Foundation (a charitable foundation of which Lavin is the Treasurer and a Director). CUSIP No. 013068200 SCHEDULE 13D Page 5 of 6 - -------------------------------------------------------------------------------- (ii) Percentage of Class A Shares Beneficially Owned*: 20.61% total: .001% held directly; 13.05% as trustee of the December Trust; 3.77% as trustee of trusts for the benefit of Lavin's adult children and grandchildren; 1.74% as co-trustee of a trust for the benefit of Mrs. Bernick; and 4.17% by Lavin Family Foundation (based on 22,723,519 Class A shares outstanding as of December 1, 1999). * Pursuant to Rule 13d-3(d)(1)(i) of the Securities Exchange Act of 1934, as amended, the following calculations assume that all Class B shares beneficially owned by Lavin have been converted into Class A shares. (b) Number of Shares as to Which Lavin Has:
December Lavin Trust ----- ----- (i) Sole power to vote: 4,285,146/1/ 3,409,948/1/ (ii) Shared power to vote: 1,370,178/2/ -0- (iii) Sole power to dispose: 4,285,146/1/ 3,409,948/1/ (iv) Shared power to dispose: 1,370,178/2/ -0-
1 The above shares of the December Trust shown as owned by Lavin and the December Trust are reflected as sole power of Lavin and the December Trust because Lavin has sole voting and investment power with respect to the Class A shares and the Class B shares held by such trust. The above shares shown as owned by Lavin include 3,409,884 Class B shares and 64 Class A shares held as trustee of the December Trust; 393,440 Class A shares and 481,464 Class B shares held as trustee of trusts for the benefit of Lavin's children and grandchildren and 294 Class B shares held directly. 2 449,378 Class A shares and 520,000 Class B shares held by Lavin Family Foundation; and 100,200 Class A shares and 300,600 Class B shares held as co-trustee of a trust for the benefit of Mrs. Bernick. Lavin shares the power to vote and dispose of the 449,378 Class A shares and 520,000 Class B 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 100,200 Class A shares and 300,600 Class B shares. The following information is presented with respect to Leonard H. Lavin and Mrs. 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 Assistant Secretary of the Company and President, Alberto-Culver North America, a division of the Company. (iv) Prior Criminal Convictions: None. CUSIP No. 013068200 SCHEDULE 13D Page 6 of 6 - -------------------------------------------------------------------------------- (v) Prior Civil Pro- ceedings With Respect to Federal or State Securities Laws: None. (vi) Citizenship/Organization: U.S. Citizen. An additional 4,234,382 Class B shares and 922 Class B shares(which are not included above) are held by Lavin's husband as trustee of a trust for his benefit and directly, respectively. Lavin disclaims beneficial ownership of such shares. (c) None, except as described in Item 3 above. (d) None. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None. Item 7. Material to be Filed as Exhibits. None. 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: December 28, 1999 Signature: /s/ Bernice E. Lavin ---------------------------------- Name/Title: Bernice E. Lavin, individually; as trustee of the Bernice E. Lavin Trust u/a/d 12/18/87; as co-trustee of another trust; and as trustee of trusts for the benefit of her children and grandchildren -----END PRIVACY-ENHANCED MESSAGE-----