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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. ______)*
Balance Bar Company
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
057623100
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(CUSIP Number)
December 31, 1998
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(Date of Event Which Requires Filing of This Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[_] Rule 13d-1(b)
[_] Rule 13d-1(c)
[X] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
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CUSIP NO. 057623100 13G
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NAME OF REPORTING PERSON
1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
Richard G. Lamb
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
2 (a) [X]
(b) [_]
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SEC USE ONLY
3
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CITIZENSHIP OR PLACE OF ORGANIZATION:
4
U.S.A.
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SOLE VOTING POWER:
5
NUMBER OF 660,000 shares
SHARES -----------------------------------------------------------
SHARED VOTING POWER:
BENEFICIALLY 6
680,180 shares
OWNED BY
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EACH SOLE DISPOSITIVE POWER:
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REPORTING 660,000 shares
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER:
WITH 8
680,180 shares
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
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1,340,180
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
10 (See Instructions) [_]
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
11 (See response to Item 4)
11.2%
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TYPE OF REPORTING PERSON (See Instructions):
12
IN
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2
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CUSIP NO. 057623100 13G
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NAME OF REPORTING PERSON
1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
Peggy O. Lamb
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
2 (a) [X]
(b) [_]
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SEC USE ONLY
3
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CITIZENSHIP OR PLACE OF ORGANIZATION:
4
U.S.A.
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SOLE VOTING POWER:
5
NUMBER OF -0-
SHARES -----------------------------------------------------------
SHARED VOTING POWER:
BENEFICIALLY 6
680,180 shares
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER:
7
REPORTING -0-
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER:
WITH 8
680,180 shares
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
9
680,180
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
10 (See Instructions) [_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
11 (See response to Item 4)
6.0%
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TYPE OF REPORTING PERSON (See Instructions):
12
IN
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Item 1.
(a) Name of Issuer
Balance Bar Company
(b) Address of Issuer's Principle Executive Offices
1015 Mark Avenue
Carpinteria, California 93013
Item 2.
(a) Name of Person Filing
Richard G. Lamb
Peggy O. Lamb
(b) Address of Principle Business Office or, in none, Residence
Richard G. Lamb
1015 Mark Avenue
Carpinteria, California 93013
Peggy O. Lamb
4385 Via Presada
Santa Barbara, CA 93110
(c) Citizenship
Richard G. Lamb - U.S.A.
Peggy O. Lamb - U.S.A.
(d) Title of Class of Securities
Common Stock
(e) CUSIP Number
057623100
Item 3. If this statement is filed pursuant to (S)(S)240.13d-1(b) or
(S)(S)240.13d-2(b) or (c), check whether the person filing is a:
Not applicable
(a) [ ] Broker or dealer registered under section 15 of the Act (15
U.S.C. 78o);
(b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15
U.S.C. 78c);
(d) [ ] Investment company registered under section 8 of the Investment
Company Act of 1940 (15 U.S.C. 80a-8);
(e) [ ] An investment adviser in accordance with (S)240.13d-
1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
(S)240.13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in accordance with
(S)240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813);
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(i) [ ] A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with (S)240.13d-1(b)(1)(ii)(J).
Item 4. Ownership
Richard G. Lamb
(a) Amount beneficially owned: 1,340,180.
(b) Percent of class: 11.2%.
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote: 660,000.*
(ii) Shared power to vote or to direct the vote: 680,180*
(iii) Sole power to dispose or to direct the disposition of: 660,000.*
(iv) Shared power to dispose or to direct the disposition of:
680,180.*
Peggy O. Lamb
(a) Amount beneficially owned: 680,180.
(b) Percent of class: 6.0%.
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote: -0-
(ii) Shared power to vote or to direct the vote: 680,180.*
(iii) Sole power to dispose or to direct the disposition of: -0-
(iv) Shared power to dispose or to direct the disposition of:
680,180.*
* Of the 680,180 shares beneficially owned by Richard G. Lamb and Peggy
O. Lamb (the "Lambs"), 27,114 shares are held by each of the Lamb's minor
daughters, Marie Claire Lamb, Erin Christine Lamb and Annick Shereen Lamb
and 598,838 shares are held in The Lamb Living Trust, which is a
revocable grantor trust of which the Lambs serve as co-trustees. The
Lambs disclaim beneficial ownership of the 81,342 shares held by their
minor children. Mr. Lamb also holds 660,000 stock options to acquire
common stock that are exercisable within 60 days of December 31, 1998.
Instruction. For computations regarding securities which represent a right
to acquire an underlying security see (S)240.13d-3(d)(1)
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Item 5. Ownership of Five Percent or Less of a Class
Not Applicable
If this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the class of securities, check the following [ ].
Item 6. Ownership of More than five Percent on Behalf of Another Person.
Not Applicable
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on By the Parent Holding Company
Not Applicable
Item 8. Identification and Classification of members of the Group
Not Applicable
Item 9. Notice of Dissolution of a Group
Not Applicable
Item 10. Certification
Not Applicable
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
January 22, 1999
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Date
/s/ Richard G. Lamb
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Signature
/s/ Peggy O. Lamb
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Signature
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Exhibit A
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JOINT FILING AGREEMENT
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The undersigned acknowledge and agree that the foregoing statement on
Schedule 13G is filed on behalf of each of the undersigned and that all
subsequent amendments to this statement on Schedule 13G shall be filed on behalf
of each of the undersigned without the necessity of filing additional joint
acquisition statements. The undersigned acknowledge that each shall be
responsible for the timely filing of such amendments, and for the completeness
and accuracy of the information concerning him or her contained therein, but
shall not be responsible for the completeness and accuracy of the information
concerning the other, except to the extent that he or she knows or has reason to
believe that such information is not accurate.
Dated: January 22, 1999 /s/ Richard G. Lamb
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/s/ Peggy O. Lamb
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