<PAGE> 1
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1)*
Power-One, Inc.
- -------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- -------------------------------------------------------------------------------
(Title of Class of Securities)
739308 10 4
---------------------------------------------------------
(CUSIP Number)
<TABLE>
<S> <C>
David A. Knight, c/o Stephens Group, Inc., 111 Center Street, Little Rock, AR 72201, (501) 377-2573
- ---------------------------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
</TABLE>
September 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 Section 240.13d-7(b) 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
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).
<PAGE> 2
CUSIP No. 739308 10 4 Page 2 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Voting trust pursuant to agreement dated as of June 8, 1998
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
5,210,588
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
-0-
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
5,210,588
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
23.6
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 3
CUSIP No. 739308 10 4 Page 3 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Stephens Group, Inc.
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [x]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
2,843,650
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
2,843,650
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
12.9
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
HC, CO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 4
CUSIP No. 739308 10 4 Page 4 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Jackson T. Stephens Trust No. One
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
77,708
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
77,708
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.4
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 5
CUSIP No. 739308 10 4 Page 5 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Jackson T. Stephens
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
22,000
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING 22,000
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
191,112
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
213,112
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
1.0
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 6
CUSIP No. 739308 10 4 Page 6 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Warren A. Stephens
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
52,272
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY 88,209
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING 52,272
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
458,295
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
510,567
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
2.3
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 7
CUSIP No. 739308 10 4 Page 7 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Bess C. Stephens Trust
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
113,404
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
113,404
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.5
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 8
CUSIP No. 739308 10 4 Page 8 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Bess C. Stephens
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY 22,500
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
411,075
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
411,075
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
1.9
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION
<PAGE> 9
CUSIP No. 739308 10 4 Page 9 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Vernon J. Giss
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
113,404
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
113,404
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.5
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 10
CUSIP No. 739308 10 4 Page 10 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Warren A. Stephens Trust
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
60,629
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
60,629
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.3
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 11
CUSIP No. 739308 10 4 Page 11 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Warren & Harriet Stephens Children's Trust
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
99,979
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
99,979
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.5
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 12
CUSIP No. 739308 10 4 Page 12 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Jon E.M. Jacoby
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
23,522
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY 155,709
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING 23,522
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
1,069,863
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
1,093,385
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
4.9
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 13
CUSIP No. 739308 10 4 Page 13 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Harriet Calhoun Stephens Trust
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
55,418
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
55,418
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.3
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 14
CUSIP No. 739308 10 4 Page 14 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Harriet C. Stephens
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
55,418
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
55,418
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.3
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 15
CUSIP No. 739308 10 4 Page 15 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Elizabeth Ann Stephens Campbell Revocable Trust
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
228,262
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
228,262
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
1.0
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 16
CUSIP No. 739308 10 4 Page 16 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Elizabeth Stephens Campbell
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
503,433
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
503,433
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
2.3
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 17
CUSIP No. 739308 10 4 Page 17 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
W.R. Stephens, Jr. Revocable Trust
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
273,263
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
273,263
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
1.2
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 18
CUSIP No. 739308 10 4 Page 18 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Wilton R. Stephens, Jr.
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY 22,500
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
570,934
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
570,934
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
2.6
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 19
CUSIP No. 739308 10 4 Page 19 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Jackson T. Stephens Grandchildrens Trust AAAA
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
369,189
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
369,189
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
1.7
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 20
CUSIP No. 739308 10 4 Page 20 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Pamela Diane Stephens Trust One
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
275,171
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
275,171
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
1.2
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 21
CUSIP No. 739308 10 4 Page 21 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Pamela Diane Stephens
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
275,171
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
275,171
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
1.2
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 22
CUSIP No. 739308 10 4 Page 22 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Warren Miles Amerine Stephens Trust UID 9/10/86
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
53,720
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
53,720
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.2
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 23
CUSIP No. 739308 10 4 Page 23 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
John Calhoun Stephens Trust
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
53,720
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
53,720
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.2
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 24
CUSIP No. 739308 10 4 Page 24 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Laura Whitaker Stephens Trust
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
53,720
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
53,720
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.2
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
OO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 25
CUSIP No. 739308 10 4 Page 25 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
J & J Partners
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
39,172
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
39,172
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.2
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
PN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 26
CUSIP No. 739308 10 4 Page 26 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Jacoby Enterprises, Inc.
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
156,788
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
156,788
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.7
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
CO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 27
CUSIP No. 739308 10 4 Page 27 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Coral Two Corporation
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
107,848
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
107,848
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.5
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
CO
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 28
CUSIP No. 739308 10 4 Page 28 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Douglas H. Martin
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
41,818
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING 41,818
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
50,953
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
92,771
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.4
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 29
CUSIP No. 739308 10 4 Page 29 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Curtis F. Bradbury, Jr.
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
156,816
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
156,816
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.7
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 30
CUSIP No. 739308 10 4 Page 30 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Bradbury Enterprises
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [x]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
52,272
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
52,272
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.2
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
PN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 31
CUSIP No. 739308 10 4 Page 31 of 40 Pages
--------------------
SCHEDULE 13D
<TABLE>
<S> <C> <C> <C>
- -------------------------------------------------------------------------------------------------------
1 Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Coral Partners
- -------------------------------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x]
(b) [ ]
- -------------------------------------------------------------------------------------------------------
3 SEC Use Only
- -------------------------------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
Not applicable
- -------------------------------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Arkansas
- -------------------------------------------------------------------------------------------------------
7 Sole Voting Power
-0-
NUMBER OF ---------------------------------------------------------------------------
SHARES 8 Shared Voting Power
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------------------------
EACH 9 Sole Dispositive Power
REPORTING -0-
PERSON ---------------------------------------------------------------------------
WITH 10 Shared Dispositive Power
70,589
- -------------------------------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned by Each Reporting Person
70,589
- -------------------------------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x]
- -------------------------------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.3
- -------------------------------------------------------------------------------------------------------
14 Type of Reporting Person (See Instructions)
PN
- -------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 32
CUSIP No. 739308 10 4 Page 32 of 40 Pages
The following materials amend the corresponding items set
forth in the initial statement in Schedule 13D dated June 10, 1998 filed by the
Reporting Persons.
ITEM 1. SECURITY AND ISSUER
This Amendment No. 1 to Schedule 13D relates to the common
stock, par value $0.001 per share, of Power-One, Inc. ("Power-One"), the
principal executive offices of which are located at 740 Calle Plano, Camarillo,
California 93012. It is being filed to report a decrease in beneficial ownership
resulting from the sale of Power-One common stock by certain of the Reporting
Persons in a public offering on September 15, 1999.
ITEM 2. IDENTITY AND BACKGROUND
Item 2 is hereby amended and supplemented by adding thereto
the following:
(c)(x) On November 12, 1998 a civil action was filed
by the U.S. Attorney's Office in the U.S. District Court for the Northern
District of Florida, Case No. 3:98cv448/RV/MD, against Stephens Inc. The matter
was settled pursuant to court order on November 24, 1998. Stephens Inc. was held
vicariously liable on a civil basis under 18 U.S.C. Sections 1341, 1343, 1345
and 1346 for (i) undisclosed payments made by three former employees to two
Florida public officials in connection with the pursuit of municipal finance
business in Florida; and (ii) a former employee's failure to disclose payments
made to an outside consultant and an employee of another broker dealer in
connection with an offering of the Florida Community Services Corp. of Walton
County. Stephens Inc. paid a $2.25 million civil penalty to the Dept. of
Justice, $296,385.90 to the Escambia County (Florida) Utilities Authority,
$53,756.38 to the Osceola County (Florida) Commission, and $536,529.73 to the
Florida Housing Finance Agency. The firm also agreed to forego any new,
negotiated municipal securities business in Florida for five years, and to
forego permanently the use of outside consultants in connection with the
solicitation of municipal bond business.
(xi) On November 23, 1998 the SEC filed an
Administrative Proceeding (File No. 3-9781) against Stephens Inc. which, without
admitting or denying the findings, consented to entry of the findings and the
imposition of remedial sanctions by the SEC. The SEC found: 1) three former
employees made undisclosed payments to three Florida public officials in
connection with the firm's municipal securities activities in Florida between
1992 and 1995; 2) inaccurate entries were made on the firm's books and records
concerning outside municipal finance consultants, expenses charged to issuers,
and the improper reimbursement of political contribution made by employees of
the firm; and 3) the firm failed to disclose a commission earned on a guaranteed
investment contract purchased by the Cherokee Co. (Ga.) Water & Sewerage
Authority in connection with an offering underwritten by Stephens Inc. Such
conduct violated Sections 10(b), 15B(c)(1) and 17(a) of the Exchange Act and
Rules 10b-5 and 17a-3 thereunder, Section 17(a) of the Securities Act, and MSRB
Rules G-8, G-17 and G-20. Stephens Inc. was ordered to: 1) cease and desist from
committing violations of Sections 10(b), 15B(c)(1) and 17(a) of the Exchange Act
and Rules 10b-5 and 17a-3 thereunder, Section 17(a) of the Securities Act, and
MSRB rules G-8, G-17 and G-20; 2) pay a $2.25 million civil penalty to the
Commission; 3) pay $111,019.19 to the Cherokee (Ga.) Water & Sewerage Authority;
and 4) retain an independent consultant to review public finance policies and
procedures.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
Item 5 is hereby amended by deleting the previous Item 5 and
replacing it in its entirety with the following:
(a) The following table discloses the ownership of the common
stock of Power-One by the Reporting Persons and their respective directors and
executive officers:
<PAGE> 33
CUSIP No. 739308 10 4 Page 33 of 40 Pages
<TABLE>
<CAPTION>
Percent of
Number of Outstanding
Name Shares Shares Voting Power Investment Power
- ---- --------- ---------- --------------- ------------------
<S> <C> <C> <C> <C>
Voting Trust pursuant to the Voting Trust Agreement 5,210,588 23.6 Sole: 5,210,588 -0-
Stephens Group, Inc. 2,843,650 12.9 -0- Shared: 2,843,650
Jackson T. Stephens Trust No. One 77,708 0.4 -0- Shared: 77,708
Bess C. Stephens Trust 113,404 0.5 -0- Shared: 113,404
Warren A. Stephens Trust 60,629 0.3 -0- Shared: 60,629
Warren & Harriet Stephens Children's Trust 99,979 0.5 -0- Shared: 99,979
Harriet Calhoun Stephens Trust 55,418 0.3 -0- Shared: 55,418
Elizabeth Ann Stephens Campbell Revocable Trust 228,262 1.0 -0- Shared: 228,262
W. R. Stephens, Jr. Revocable Trust 273,263 1.2 -0- Shared: 273,263
Jackson T. Stephens Grandchildrens Trust AAAA 369,189 1.7 -0- Shared: 369,189
Pamela Diane Stephens Trust One 275,171 1.2 -0- Shared: 275,171
Warren Miles Amerine Stephens Trust 53,720 0.2 -0- Shared: 53,720
John Calhoun Stephens Trust 53,720 0.2 -0- Shared: 53,720
Laura Whitaker Stephens Trust 53,720 0.2 -0- Shared: 53,720
Jackson T. Stephens (1) 213,112 1.0 Sole: 22,000 Sole: 22,000
Shared: 191,112
Warren A. Stephens (2) 510,567 2.3 Sole: 52,272 Sole: 52,272
Shared: 88,209 Shared: 458,295
Bess C. Stephens (3) 411,075 1.9 Shared: 22,500 Shared: 411,075
Vernon J. Giss (4) 113,404 0.5 -0- Shared: 113,404
Jon E.M. Jacoby (5) 1,093,385 4.9 Sole: 23,522 Sole: 23,522
Shared: 155,709 Shared: 1,069,863
Harriet C. Stephens (6) 55,418 0.3 -0- Shared: 55,418
Elizabeth Stephens Campbell (7) 503,433 2.3 -0- Shared: 503,433
Wilton R. Stephens, Jr. (8) 570,934 2.6 Shared: 22,500 Shared: 570,934
Pamela Diane Stephens (9) 275,171 1.2 -0- Shared: 275,171
J & J Partners 39,172 0.2 -0- Shared: 39,172
Jacoby Enterprises, Inc. 156,788 0.7 -0- Shared: 156,788
Coral Two Corporation 107,848 0.5 -0- Shared: 107,848
Douglas H. Martin (10) 92,771 0.4 Sole: 41,818 Sole: 41,818
Shared: 50,953
Curtis F. Bradbury, Jr. (11) 156,816 0.7 -0- Shared: 156,816
Bradbury Enterprises 52,272 0.2 -0- Shared: 52,272
I. Ernest Butler (12) 67,500 0.3 Shared: 67,500 Shared: 67,500
Coral Partners 70,589 0.3 -0- Shared: 70,589
Craig D. Campbell -0- -0- -0- -0-
William Walker 5,000 0.0 Sole: 5,000 Sole: 5,000
</TABLE>
(1) Includes 77,708 shares beneficially owned by
Jackson T. Stephens Trust No. One and 113,404 shares beneficially owned by Bess
C. Stephens Trust, of which Jackson T. Stephens is a trustee. Also includes
22,000 owned by Jackson T. Stephens.
(2) Includes 77,708 shares beneficially owned by
Jackson T. Stephens Trust No. One, 60,629 shares beneficially owned by Warren A.
Stephens Trust, 53,720 shares beneficially owned by each of Warren Miles Amerine
Stephens Trust, John Calhoun Stephens Trust and Laura Whitaker Stephens Trust,
and 29,403 shares owned by each of Grandchild's Trust One UID 12/16/85,
Grandchild's Trust Two UID 12/16/85 and Grandchild's Trust Three UID 12/89. Mr.
Stephens is a trustee for each of these trusts. Also includes 52,272 shares
owned by Stephens Inc. Custodian for Warren A. Stephens IRA. Also includes
70,589 shares beneficially owned by Coral Partners, of which Mr. Stephens is a
general partner.
<PAGE> 34
CUSIP No. 739308 10 4 Page 34 of 40 Pages
(3) Includes 113,404 shares beneficially owned by
Bess C. Stephens Trust, 275,171 shares beneficially owned by Pamela Diane
Stephens Trust One and 22,500 shares owned by W.R. Stephens, Jr. Children's
Trust UID 3/1/95. Ms. Stephens is a trustee for each of these trusts.
(4) Includes 113,404 shares beneficially owned by
Bess C. Stephens Trust, of which Vernon J. Giss is a trustee.
(5) Includes 29,403 shares owned by each of
Grandchild's Trust One UID 12/16/85, Grandchild's Trust Two UID 12/16/85 and
Grandchild's Trust Three UID 12/89, 99,979 shares beneficially owned by Warren &
Harriet Stephens Children's Trust UID 9/30/87, 369,189 shares beneficially owned
by Jackson T. Stephens Grandchildren's Trust AAAA, and 22,500 shares owned by
each of Susan Stephens Campbell 1995 Trust UID 12/4/95, Craig D. Campbell, Jr.
1995 Trust UID 12/4/95 and Elizabeth Chisum Campbell 1995 Trust UID 12/4/95. Mr.
Jacoby is a trustee for each of these trusts. Also includes 39,172 shares
beneficially owned by J & J Partners, 156,788 shares beneficially owned by
Jacoby Enterprises, Inc., 107,848 shares beneficially owned by Coral Two
Corporation, 23,522 shares owned by Delaware Charter Guarantee & Trust F/B/O Jon
E.M. Jacoby Keogh, 70,589 shares beneficially owned by Coral Partners and 70,589
shares beneficially owned by Mr. Jacoby.
(6) Includes 55,418 shares beneficially owned by
Harriet Calhoun Stephens Trust, of which Harriet C. Stephens is a trustee.
Excludes shares beneficially owned by Harriet Calhoun Stephens' husband, Warren
A. Stephens, listed in note (2) above.
(7) Includes 228,262 shares beneficially owned by
Elizabeth Ann Stephens Campbell Revocable Trust and 275,171 shares beneficially
owned by Pamela Diane Stephens Trust One, of which Elizabeth Stephens Campbell
is a trustee.
(8) Includes 273,263 shares beneficially owned by W.
R. Stephens, Jr. Revocable Trust and 275,171 shares beneficially owned by Pamela
Diane Stephens Trust One, of which Wilton R. Stephens, Jr. is a trustee. Also
includes 22,500 shares owned by W.R. Stephens, Jr. Children's Trust UID 3/1/95,
of which Wilton R. Stephens, Jr. is a trustee.
(9) Includes 275,171 shares beneficially owned by
Pamela Diane Stephens Trust One, of which Pamela Diane Stephens is a trustee.
(10) Includes 41,818 shares owned by Stephens Inc.
Custodian for Douglas H. Martin IRA and 50,953 shares beneficially owned by Mr.
Martin.
(11) Includes 52,272 shares beneficially owned by
Bradbury Enterprises and 104,544 shares beneficially owned by Mr. Bradbury.
(12) Includes 22,500 shares owned by each of Susan
Stephens Campbell 1995 Trust UID 12/4/95, Craig D. Campbell, Jr. 1995 Trust UID
12/4/95 and Elizabeth Chisum Campbell 1995 Trust UID 12/4/95. Mr. Butler is a
trustee for each of these trusts.
<PAGE> 35
CUSIP No. 739308 10 4 Page 35 of 40 Pages
(b) The table below discloses the beneficial ownership of
common stock of Power-One by persons who may comprise a group with any of the
Reporting Persons within the meaning of Rule 13-d(3) of the Exchange Act. The
persons listed below expressly disclaim membership in any group pursuant to
Regulation 13D.
<TABLE>
<CAPTION>
Percent of
Outstanding
Name Number of Shares Shares
- ---- ---------------- -----------
<S> <C> <C>
Stephens Inc. 57,446 0.3
Grandchild's Trust One 29,403 0.1
Grandchild's Trust Two 29,403 0.1
Grandchild's Trust Three 29,403 0.1
K. Rick Turner 5,226 0.0
C. Ray Gash 1,135 0.0
Robert L. Schulte 13,067 0.1
William S. Walker 5,000 0.0
Gordon D. Grender & Amanda F. Grender, JTWROS 78,408 0.4
Susan Stephens Campbell 1995 Trust 22,500 0.1
Craig D. Campbell, Jr. 1995 Trust 22,500 0.1
Elizabeth Chisum Campbell 1995 Trust 22,500 0.1
W. R. Stephens, Jr. Children's Trust 22,500 0.1
</TABLE>
(c) The Voting Trustee expressly disclaims beneficial
ownership of any securities covered by this Schedule 13D.
(d) On September 15, 1999, Power-One and certain of its
shareholders sold 7,475,000 shares of Power-One common stock in a public
offering underwritten by Stephens Inc., BancBoston Robertson Stephens Inc. and
Thomas Weisel Partners LLC. 4,975,000 shares were sold by Power-One and
2,500,000 were sold by the shareholders. The public offering price was $25.00
per share, from which the selling shareholders received proceeds of $23.88 per
share. The table below discloses sales by the Reporting Persons in the public
offering on September 15, 1999.
<TABLE>
<CAPTION>
Name Number of Shares
- ---- ----------------
<S> <C>
Stephens Group, Inc. 860,400
Jackson T. Stephens Trust One 24,200
Bess C. Stephens Trust UID 1/4/85 37,800
Warren & Harriet Stephens Children's Trust 20,700
Harriet Calhoun Stephens Trust UID 3/22/84 5,200
Elizabeth Ann Stephens Campbell Revocable Trust 76,100
W.R. Stephens Jr. Revocable Trust 91,100
Jackson T. Stephens Grandchildren's Trust AAAA 123,100
Pamela Diane Stephens Trust One UID 4/10/92 91,700
Warren Miles Amerine Stephens Trust UID 9/10/86 10,000
John Calhoun Stephens Trust UID 12/1/87 10,000
Laura Whitaker Stephens Trust UID 12/28/90 10,000
Coral Two Corporation 35,900
Coral Partners 23,500
Jon E.M. Jacoby 23,500
Jacoby Enterprises, Inc. 52,300
J&J Partners 13,100
Doug Martin 17,000
Warren A. Stephens Trust UID 9/30/87 15,000
</TABLE>
<PAGE> 36
CUSIP No. 739308 10 4 Page 36 of 40 Pages
(e) The table below discloses the sale of shares of
Power-One common stock in the September 15, 1999 public offering by persons who
may comprise a group with any of the Reporting Persons within the meaning of
Rule 13-d(3) of the Exchange Act. The persons listed below expressly disclaim
membership in any group pursuant to Regulation 13D.
<TABLE>
<CAPTION>
Name Number of Shares
- ---- ----------------
<S> <C>
Grandchild's Trust One UID 12/16/85 9,800
Grandchild's Trust Two UID 12/16/85 9,800
Grandchild's Trust Three UID 12/89 9,800
Susan Stephens Campbell 1995 Trust UID 12/16/85 7,500
Craig D. Campbell, Jr. 1995 Trust UID 12/4/95 7,500
Elizabeth Chisum Campbell 1995 Trust UID 12/4/95 7,500
W.R. Stephens, Jr. Children's Trust UID 3/1/95 7,500
</TABLE>
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO
SECURITIES OF THE ISSUER
Item 6 is hereby amended by deleting the previous subsection
(b) under Item 6 and replacing it in its entirety with the following:
(b) Prior to the creation of the voting trust,
Jackson T. Stephens Trust No. One assigned the economic interest in 10,000
shares of the common stock to one individual and in 15,000 shares of the common
stock to another individual. 20,000 of such shares have been sold.
Prior to the creation of the voting trust,
Warren A. Stephens Trust and Harriet C. Stephens Trust assigned the economic
interest in a total of 95,000 shares of the common stock to a total of seven
individuals, including several family members. 27,360 of such shares have been
sold, and the economic interest in 8,000 of such shares has been reacquired.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
(a) Amendment to Assignment of Economic Interest
(b) Agreement to File Joint Schedule 13D
<PAGE> 37
CUSIP No. 739308 10 4 Page 37 of 40 Pages
SIGNATURES
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.
STEPHENS GROUP, INC.
By: /s/ JACKSON T. STEPHENS
--------------------------------------
Jackson T. Stephens
Chairman of the Board of Directors
JACKSON T. STEPHENS TRUST NO. ONE
By: /s/ JACKSON T. STEPHENS
--------------------------------------
Jackson T. Stephens, Trustee
By: /s/ WARREN A. STEPHENS
--------------------------------------
Warren A. Stephens, Trustee
BESS C. STEPHENS TRUST
By: /s/ BESS C. STEPHENS
--------------------------------------
Bess C. Stephens, Trustee
By: /s/ JACKSON T. STEPHENS
--------------------------------------
Jackson T. Stephens, Trustee
By: /s/ VERNON J. GISS
--------------------------------------
Vernon J. Giss, Trustee
WARREN A. STEPHENS TRUST
By: /s/ WARREN A. STEPHENS
--------------------------------------
Warren A. Stephens, Trustee
WARREN & HARRIET STEPHENS CHILDREN'S
TRUST
By: /s/ JON E.M. JACOBY
--------------------------------------
Jon E.M. Jacoby, Trustee
<PAGE> 38
CUSIP No. 739308 10 4 Page 38 of 40 Pages
HARRIET CALHOUN STEPHENS TRUST
By: /s/ HARRIET C. STEPHENS
--------------------------------------
Harriet C. Stephens, Trustee
ELIZABETH ANN STEPHENS CAMPBELL REVOCABLE
TRUST
By: /s/ ELIZABETH STEPHENS CAMPBELL
--------------------------------------
Elizabeth Stephens Campbell, Trustee
W. R. STEPHENS, JR. REVOCABLE TRUST
By: /s/ WILTON R. STEPHENS, JR.
--------------------------------------
Wilton R. Stephens, Jr., Trustee
JACKSON T. STEPHENS GRANDCHILDRENS TRUST
AAAA
By: /s/ JON E.M. JACOBY
--------------------------------------
Jon E.M. Jacoby, Trustee
PAMELA DIANE STEPHENS TRUST ONE
By: /s/ BESS C. STEPHENS
--------------------------------------
Bess C. Stephens, Trustee
By: /s/ ELIZABETH STEPHENS CAMPBELL
--------------------------------------
Elizabeth Stephens Campbell, Trustee
By: /s/ WILTON R. STEPHENS, JR.
--------------------------------------
Wilton R. Stephens, Jr., Trustee
By: /s/ PAMELA DIANE STEPHENS
--------------------------------------
Pamela Diane Stephens, Trustee
<PAGE> 39
CUSIP No. 739308 10 4 Page 39 of 40 Pages
WARREN MILES AMERINE STEPHENS TRUST
By: /s/ WARREN A. STEPHENS
--------------------------------------
Warren A. Stephens, Trustee
JOHN CALHOUN STEPHENS TRUST
By: /s/ WARREN A. STEPHENS
--------------------------------------
Warren A. Stephens, Trustee
LAURA WHITAKER STEPHENS TRUST
By: /s/ WARREN A. STEPHENS
--------------------------------------
Warren A. Stephens, Trustee
J&J PARTNERS
By: /s/ JON E.M. JACOBY
--------------------------------------
Jon E.M. Jacoby, Managing Partner
JACOBY ENTERPRISES, INC.
By: /s/ JON E.M. JACOBY
--------------------------------------
Jon E.M. Jacoby, President
CORAL TWO CORPORATION
By: /s/ JON E.M. JACOBY
--------------------------------------
Jon E.M. Jacoby, President
CORAL PARTNERS
By: /s/ WARREN A. STEPHENS
--------------------------------------
Warren A. Stephens, Partner
By: /s/ JON E.M. JACOBY
--------------------------------------
Jon E.M. Jacoby, Partner
<PAGE> 40
CUSIP No. 739308 10 4 Page 40 of 40 Pages
BRADBURY ENTERPRISES
By: /s/ CURTIS F. BRADBURY, JR.
--------------------------------------
Curtis F. Bradbury, Jr., Partner
/s/ DOUGLAS H. MARTIN
--------------------------------------
Douglas H. Martin
/s/ CURTIS F. BRADBURY, JR.
--------------------------------------
Curtis F. Bradbury, Jr.
/s/ JACKSON T. STEPHENS
--------------------------------------
Jackson T. Stephens
/s/ WARREN A. STEPHENS
--------------------------------------
Warren A. Stephens
/s/ BESS C. STEPHENS
--------------------------------------
Bess C. Stephens
/s/ VERNON J. GISS
--------------------------------------
Vernon J. Giss
/s/ JON E.M. JACOBY
--------------------------------------
Jon E.M. Jacoby
/s/ HARRIET C. STEPHENS
--------------------------------------
Harriet C. Stephens
/s/ ELIZABETH STEPHENS CAMPBELL
--------------------------------------
Elizabeth Stephens Campbell
/s/ WILTON R. STEPHENS, JR.
--------------------------------------
Wilton R. Stephens, Jr.
/s/ PAMELA DIANE STEPHENS
--------------------------------------
Pamela Diane Stephens
/s/ JAMES SOMMERS
--------------------------------------
James Sommers, trustee pursuant to
Voting Trust Agreement dated as of
June 8, 1998
<PAGE> 41
CUSIP No. 739308 10 4 Page 1 of 1 Page
AMENDMENT TO ASSIGNMENT OF ECONOMIC INTEREST
For and in consideration of five thousand, one hundred and
twenty five dollars ($5,125.00), the receipt and sufficiency of which is hereby
acknowledged by the undersigned, Earsie Carter ("Assignee"). Assignee does
hereby sell, reassign and reconvey to Warren A. Stephens Trust all of its right,
title and interest in and to 500 shares of common stock of Power-One, Inc., a
Delaware corporation. The 500 shares being reconveyed hereby comprise a portion
of the 5,000 shares of Power-One, Inc. common stock assigned to Assignee
pursuant to that certain Assignment of Economic Interest (the "Assignment"),
dated March 7, 1996 from Warren A. Stephens Trust as Assignor to Assignee.
The Assignment is hereby amended to reduce the number of
shares of Power-One, Inc. common stock subject to the Assignment, following the
reconveyance contemplated by this Amendment from 5,000 to 0 shares.
IN WITNESS WHEREOF, the Assignee and the Warren A. Stephens
Trust have executed and delivered this Amendment to Assignment of Economic
Interest as of January 13, 1999.
UNDERSIGNED:
ASSIGNEE:
/s/ EARSIE CARTER
--------------------------------------
Earsie Carter, Individually
WARREN A. STEPHENS TRUST
By: /s/ WARREN A. STEPHENS
-----------------------------------
Warren A. Stephens, Trustee
<PAGE> 42
CUSIP No. 739308 10 4 Page 1 of 4 Pages
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(k) of Regulation 13D of the
Securities Exchange Act of 1934, as amended, the persons or entities below agree
to the joint filing on behalf of each of them of this statement on Schedule 13D
(including any and all amendments thereto) with respect to the Common Stock of
Power-One, Inc. and further agree that this Joint Filing Agreement be included
as an Exhibit to such joint filings. In evidence thereof the undersigned, being
duly authorized, hereby execute this Agreement as of the 28th day of October,
1999.
STEPHENS GROUP, INC.
By: /s/ JACKSON T. STEPHENS
-----------------------------------
Jackson T. Stephens
Chairman of the Board of Directors
JACKSON T. STEPHENS TRUST NO. ONE
By: /s/ JACKSON T. STEPHENS
-----------------------------------
Jackson T. Stephens, Trustee
By: /s/ WARREN A. STEPHENS
-----------------------------------
Warren A. Stephens, Trustee
BESS C. STEPHENS TRUST
By: /s/ BESS C. STEPHENS
-----------------------------------
Bess C. Stephens, Trustee
By: /s/ JACKSON T. STEPHENS
-----------------------------------
Jackson T. Stephens, Trustee
By: /s/ VERNON J. GISS
-----------------------------------
Vernon J. Giss, Trustee
WARREN A. STEPHENS TRUST
By: /s/ WARREN A. STEPHENS
-----------------------------------
Warren A. Stephens, Trustee
<PAGE> 43
CUSIP No. 739308 10 4 Page 2 of 4 Pages
WARREN & HARRIET STEPHENS CHILDREN'S
TRUST
By: /s/ JON E.M. JACOBY
-----------------------------------
Jon E.M. Jacoby, Trustee
HARRIET CALHOUN STEPHENS TRUST
By: /s/ HARRIET C. STEPHENS
-----------------------------------
Harriet C. Stephens, Trustee
ELIZABETH ANN STEPHENS CAMPBELL
REVOCABLE TRUST
By: /s/ ELIZABETH STEPHENS CAMPBELL
-----------------------------------
Elizabeth Stephens Campbell,
Trustee
W. R. STEPHENS, JR. REVOCABLE TRUST
By: /s/ WILTON R. STEPHENS, JR.
-----------------------------------
Wilton R. Stephens, Jr., Trustee
JACKSON T. STEPHENS GRANDCHILDRENS
TRUST AAAA
By: /s/ JON E.M. JACOBY
-----------------------------------
Jon E.M. Jacoby, Trustee
PAMELA DIANE STEPHENS TRUST ONE
By: /s/ BESS C. STEPHENS
-----------------------------------
Bess C. Stephens, Trustee
By: /s/ ELIZABETH STEPHENS CAMPBELL
-----------------------------------
Elizabeth Stephens Campbell,
Trustee
By: /s/ WILTON R. STEPHENS, JR.
-----------------------------------
Wilton R. Stephens, Jr., Trustee
By: /s/ PAMELA DIANE STEPHENS
-----------------------------------
Pamela Diane Stephens, Trustee
<PAGE> 44
CUSIP No. 739308 10 4 Page 3 of 4 Pages
WARREN MILES AMERINE STEPHENS TRUST
By: /s/ WARREN A. STEPHENS
-----------------------------------
Warren A. Stephens, Trustee
JOHN CALHOUN STEPHENS TRUST
By: /s/ WARREN A. STEPHENS
-----------------------------------
Warren A. Stephens, Trustee
LAURA WHITAKER STEPHENS TRUST
By: /s/ WARREN A. STEPHENS
-----------------------------------
Warren A. Stephens, Trustee
J&J PARTNERS
By: /s/ JON E.M. JACOBY
-----------------------------------
Jon E.M. Jacoby, Managing Partner
JACOBY ENTERPRISES, INC.
By: /s/ JON E.M. JACOBY
-----------------------------------
Jon E.M. Jacoby, President
CORAL TWO CORPORATION
By: /s/ JON E.M. JACOBY
-----------------------------------
Jon E.M. Jacoby, President
CORAL PARTNERS
By: /s/ WARREN A. STEPHENS
-----------------------------------
Warren A. Stephens, Partner
By: /s/ JON E.M. JACOBY
-----------------------------------
Jon E.M. Jacoby, General Partner
<PAGE> 45
CUSIP No. 739308 10 4 Page 4 of 4 Pages
BRADBURY ENTERPRISES
By: /s/ CURTIS F. BRADBURY
-----------------------------------
Curtis F. Bradbury, Jr., Partner
/s/ DOUGLAS H. MARTIN
---------------------------------------
Douglas H. Martin
/s/ CURTIS F. BRADBURY, JR.
---------------------------------------
Curtis F. Bradbury, Jr.
/s/ JACKSON T. STEPHENS
---------------------------------------
Jackson T. Stephens
/s/ WARREN A. STEPHENS
---------------------------------------
Warren A. Stephens
/s/ BESS C. STEPHENS
---------------------------------------
Bess C. Stephens
/s/ VERNON J. GISS
---------------------------------------
Vernon J. Giss
/s/ JON E.M. JACOBY
---------------------------------------
Jon E.M. Jacoby
/s/ HARRIET C. STEPHENS
---------------------------------------
Harriet C. Stephens
/s/ ELIZABETH STEPHENS CAMPBELL
---------------------------------------
Elizabeth Stephens Campbell
/s/ WILTON R. STEPHENS, JR.
---------------------------------------
Wilton R. Stephens, Jr.
/s/ PAMELA DIANE STEPHENS
---------------------------------------
Pamela Diane Stephens
/s/ JAMES SOMMERS
---------------------------------------
James Sommers, trustee pursuant to
Voting Trust Agreement dated as of
June 8, 1998
