-----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, U0iWvLY2Si6diNTSlxXBD0ZDJpevNFAD5QKTUCq2Q3no3ltpDhrPZvdnBevjEwQj RFdLAsPfEHqmkUMJLluPew== 0000950135-01-504029.txt : 20020413 0000950135-01-504029.hdr.sgml : 20020413 ACCESSION NUMBER: 0000950135-01-504029 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011231 GROUP MEMBERS: THE CROSS COUNTRY GROUP, LLC FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WOLK HOWARD L CENTRAL INDEX KEY: 0001164243 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: THE CROSS COUNTRY GROUP STREET 2: 4040 MYSTIC VALLEY PKWY CITY: MEDFORD STATE: MA ZIP: 02155 BUSINESS PHONE: 7813963700 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GEERLINGS & WADE INC CENTRAL INDEX KEY: 0000922810 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-CATALOG & MAIL-ORDER HOUSES [5961] IRS NUMBER: 042935863 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-53551 FILM NUMBER: 1826164 BUSINESS ADDRESS: STREET 1: 960 TURNPIKE ST CITY: CANTON STATE: MA ZIP: 02021 BUSINESS PHONE: 6178214152 MAIL ADDRESS: STREET 1: 960 TURNPIKE ST CITY: CANTON STATE: MA ZIP: 02021 SC 13G/A 1 b41515gwsc13ga.txt HOWARD L. WOLK - REGARDING GEERLINGS AND WADE, INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1) GEERLINGS & WADE, INC. -------------------------------- (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE -------------------------------- (Title of Class of Securities) 368473-10-4 -------------------------------- (CUSIP Number) DECEMBER 14, 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: [ ] 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. CUSIP No. 368473-10-4 Page 2 of 6 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. THE CROSS COUNTRY GROUP, LLC I.R.S. Identification Nos. of above persons (entities only) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] The parties are not members of a Group. - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Massachusetts - -------------------------------------------------------------------------------- 5. Sole Voting Power: None Number of Shares ---------------------------------------------------------- Beneficially Owned by 6. Shared Voting Power: None Each Reporting Person With ---------------------------------------------------------- 7. Sole Dispositive Power: None ---------------------------------------------------------- 8. Shared Dispositive Power: None - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person: None - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) Zero - -------------------------------------------------------------------------------- 12. Type of Reporting Person: OO - Limited Liability Company - -------------------------------------------------------------------------------- CUSIP No. 368473-10-4 Page 3 of 6 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. HOWARD L. WOLK I.R.S. Identification Nos. of above persons (entities only) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] The parties are not members of a Group. - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- 5. Sole Voting Power: 55,000 Number of Shares ---------------------------------------------------------- Beneficially Owned by 6. Shared Voting Power: None Each Reporting Person With ---------------------------------------------------------- 7. Sole Dispositive Power: 55,000 ---------------------------------------------------------- 8. Shared Dispositive Power: None - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 55,000 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 1.43% - -------------------------------------------------------------------------------- 12. Type of Reporting Person: IN - -------------------------------------------------------------------------------- CUSIP No. 368473-10-4 Page 4 of 6 ITEM 1. (a) Name of Issuer: GEERLINGS & WADE, INC. (b) Address of Issuer's Principal Executive Offices: 960 TURNPIKE STREET, CANTON, MA 02021 ITEM 2. (a) Name of Persons Filing: THE CROSS COUNTRY GROUP, LLC ("CCG") & HOWARD L. WOLK ("WOLK") (b) Address of Principal Business Office or, if none, Residence: 4040 MYSTIC VALLEY PARKWAY, MEDFORD, MA 02155 (FOR EACH) (c) Citizenship: MASSACHUSETTS LIMITED LIABILITY COMPANY (CCG)/U. S. CITIZEN (WOLK) (d) Title of Class of Securities: COMMON STOCK, $.01 PAR VALUE PER SHARE (e) CUSIP Number: 368473-10-4 ITEM 3. If this statement is filed pursuant to SS.240.13d-1(b) or SS.240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) [ ] An investment adviser in accordance with SS.240.13d-1(b) (1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with SS.240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with SS. 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with SS.240.13d-1(b)(1)(ii)(J). THE FILING IS PURSUANT TO SS.240.13d-2(b), BUT NONE OF THE ABOVE ARE APPLICABLE. CUSIP No. 368473-10-4 Page 5 of 6 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: NONE (CCG)/55,000 (WOLK). (b) Percent of class: ZERO (CCG)/1.43% (WOLK). (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: NONE (CCG)/55,000 (WOLK). (ii) Shared power to vote or to direct the vote: NONE (FOR EACH). (iii) Sole power to dispose or to direct the disposition of NONE (CCG) /55,000 (WOLK). (iv) Shared power to dispose or to direct the disposition of NONE (FOR EACH). ITEM 5. Ownership of Five Percent or Less of a Class THIS STATEMENT IS BEING FILED AS THE RESULT OF THE SALE ON DECEMBER 14, 2001 OF 164,400 SHARES OF THE COMMON STOCK OF THE ISSUER BY THE CROSS COUNTRY GROUP TO MR. THOMAS GRAHAM, IDENTIFIED IN A FOOTNOTE TO THE ORIGINAL STATEMENT AS AN EMPLOYEE OF AN AFFILIATE OF THE CROSS COUNTRY GROUP. THESE SHARES HAD PREVIOUSLY BEEN REPORTED AS ALSO BEING BENEFICIALLY OWNED BY HOWARD L. WOLK, WHO SERVES AS A MANAGING MEMBER OF CCG. ACCORDINGLY, AS A CONSEQUENCE OF THIS TRANSACTION, HOWARD WOLK NO LONGER HAS A 5% INTEREST IN THE ISSUER. (THIS ACQUISITION BRINGS MR. GRAHAM'S TOTAL OF SHARES OWNED TO 167,400.) ITEM 6. Ownership of More than Five Percent on Behalf of Another Person. NOT APPLICABLE. 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. CUSIP No. 368473-10-4 Page 6 of 6 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. 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. December 31, 2001 ----------------------------------- Dated THE CROSS COUNTRY GROUP, LLC By: /s/ Howard L. Wolk -------------------------------- Howard L. Wolk, Manager /s/ Howard L. Wolk ----------------------------------- HOWARD L. WOLK, INDIVIDUALLY -----END PRIVACY-ENHANCED MESSAGE-----