UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. __)*
SPIEGEL, INC./1/
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(Name of Issuer)
COMMON STOCK, CLASS A
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(Title of Class of Securities)
848457107
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(CUSIP Number)
July 13, 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 Scheule
is filed:
|X| Rule 13d-1(b)
|_| Rule 13d-1(c)
|_| Rule 13d-1(d)
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\1\ 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).
<PAGE>
Schedule 13G Page 2 of 9
CUSIP No. 848457107 Spiegel, Inc.
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Berger Associates, Inc. ID No. 13-2750052
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |_|
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF 5 SOLE VOTING POWER
SHARES -0-
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BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 941,500
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EACH 7 SOLE DISPOSITIVE POWER
REPORTING -0-
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PERSON 8 SHARED DISPOSITIVE POWER
WITH 941,500
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
941,500
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES |_|
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.4%
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12 TYPE OF REPORTING PERSON
IA, CO
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<PAGE>
Schedule 13G Page 3 of 9
CUSIP No. 848457107 Spiegel, Inc.
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Kansas City Southern Industries, Inc., ID No. 44-0663509
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |_|
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF 5 SOLE VOTING POWER
SHARES -0-
------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY -0-
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EACH 7 SOLE DISPOSITIVE POWER
REPORTING -0-
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PERSON 8 SHARED DISPOSITIVE POWER
WITH -0-
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0-
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES |X|
Excludes shares beneficially owned by Berger Associates, Inc. as
to which beneficial ownership is disclaimed.
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%
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12 TYPE OF REPORTING PERSON
HC, CO
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<PAGE>
Schedule 13G Page 4 of 9
CUSIP No. 848457107 Spiegel, Inc.
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Item 1.
(a) Name of Issuer: SPIEGEL, INC.
(b) Address of Issuer's Principal Executive Offices:
3500 LACEY ROAD
DOWNERS GROVE, ILLINOIS 60515-5432
Item 2.
(a) Name of Person Filing:
(1) BERGER ASSOCIATES, INC.
(2) KANSAS CITY SOUTHERN INDUSTRIES, INC.
(b) Address of Principal Business Office:
(1) BERGER ASSOCIATES, INC.
210 UNIVERSITY BOULEVARD, SUITE 900
DENVER, COLORADO 80206
(2) KANSAS CITY SOUTHERN INDUSTRIES, INC.
114 WEST 11TH STREET
KANSAS CITY, MO 64105
(c) Citizenship:
(1) Berger Associates, Inc.: DELAWARE
(2) Kansas City Southern Industries, Inc.: DELAWARE
(d) Title of Class of Securities: COMMON STOCK, CLASS A
(e) CUSIP Number: 848457107
Item 3. If this statement is filed pursuant to Rule 13d-1(b), or
13d-2(b), check whether the person filing is a:
(a) Broker or Dealer registered under Section 15 of the
-------- Act
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Schedule 13G Page 5 of 9
CUSIP No. 848457107 Spiegel, Inc.
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(b) Bank as defined in section 3(a)(6) of the Act
--------
(c) Insurance Company as defined in section 3(a)(19) of
-------- the Act
(d) Investment Company registered under section 8 of the
-------- Investment Company Act
(e) X Investment Adviser registered under section 203 of
-------- the Investment Advisers Act of 1940/1/
(f) Employee Benefit Plan, Pension Fund which is subject
-------- to the provisions of the Employee Retirement Income
Security Act of 1974 or Endowment Fund; see section
240.13d-1(b)(1)(ii)(F)
(g) X Parent Holding Company, in accordance with
-------- section 240.13d-1(b)(1)(ii)(G) (Note: See Item 7)/2/
(h) Group, in accordance with section
-------- 240.13d-1(b)(1)(ii)(H)
Item 4. Ownership
(a) Amount Beneficially Owned:
(1) Berger Associates, Inc.: 941,500*
*The filing of this statement shall not be construed
as an admission that Berger Associates, Inc. is, for
purposes of Sections 13(d) or 13(g) of the Securities
Exchange Act of 1934, the beneficial owner of any
securities covered by this statement.
Berger Associates, Inc. is a registered investment
adviser which furnishes investment advice to a number
of mutual funds and institutional clients. As a
result of its role as investment adviser or
sub-adviser to the Funds as well
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/1/ Berger Associates, Inc. is a registered investment adviser.
/2/ Kansas City Southern Industries, Inc. ("KCSI") is the parent holding
company of Berger Associates, Inc. KCSI owns 100% of Berger Associates,
Inc. and is filing this statement solely as a result of such stock
ownership which may be deemed to give KCSI control over Berger Associates,
Inc.
<PAGE>
Schedule 13G Page 6 of 9
CUSIP No. 848457107 Spiegel, Inc.
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as institutional clients, Berger Associates, Inc.
may be deemed to be the beneficial owner of
securities held by such funds or clients.
(2) Kansas City Southern Industries, Inc.: 0**
**Kansas City Southern Industries, Inc. ("KCSI") does
not own of record any shares of Spiegel, Inc., it has
not engaged in any transaction in Spiegel, Inc.
Common Stock, Class A, and it does not exercise any
voting or investment power over shares of Spiegel,
Inc. Common Stock, Class A. All shares reported
herein have been acquired by Berger Associates,
Inc.'s mutual fund clients and KCSI specifically
disclaims beneficial ownership over any shares of
Spiegel, Inc. Common Stock, Class A.
Accordingly, the filing of this statement shall not
be construed as an admission that KCSI is, for
purposes of Sections 13(d) or 13(g) of the Securities
Exchange Act of 1934, the beneficial owner of any
securities covered by this statement.
(b) Percent of Class:
(1) Berger Associates, Inc.: 6.4%*
*The filing of this statement shall not be construed
as an admission that Berger Associates, Inc. is, for
purposes of Sections 13(d) or 13(g) of the Securities
Exchange Act of 1934, the beneficial owner of any
securities covered by this statement.
(2) Kansas City Southern Industries, Inc. 0.0%**
**See Item 4(a)(2).
(c) Number of shares as to which such person has:
(1) Berger Associates, Inc.:
(i) Sole power to vote or to direct the
vote: 0
(ii) Shared power to vote or to direct the
vote: 941,500
(iii) Sole power to dispose or to direct the
disposition of: 0
<PAGE>
Schedule 13G Page 7 of 9
CUSIP No. 848457107 Spiegel, Inc.
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(iv) Shared power to dispose or to direct the
disposition of: 941,500
(2) Kansas City Southern Industries, Inc.
(i) Sole power to vote or to direct the
vote: 0
(ii) Shared power to vote or to direct the
vote: 0*
*See Item 4(a)(2).
(iii) Sole power to dispose or to direct the
disposition of: 0
(iv) Shared power to dispose or to direct the
disposition of: 0**
**See Item 4(a)(2).
Item 5. Ownership of Five Percent or Less of a Class:
N/A
Item 6. Ownership of More than Five Percent on Behalf of Another
Person:
N/A
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on By the Parent Holding
Company:
THIS STATEMENT HAS BEEN FILED JOINTLY BY KCSI (PARENT HOLDING
COMPANY) AND BERGER ASSOCIATES, INC. (ITS REGISTERED
INVESTMENT ADVISER SUBSIDIARY) AND INFORMATION RELATING TO
BERGER ASSOCIATES, INC. HAS BEEN INCLUDED HEREIN.
Item 8. Identification and Classification of Members of the Group:
N/A
Item 9. Notice of Dissolution of Group:
N/A
<PAGE>
Schedule 13G Page 8 of 9
CUSIP No. 848457107 Spiegel, Inc.
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Item 10. Certification:
BY SIGNING BELOW I CERTIFY THAT, TO THE BEST OF MY KNOWLEDGE
AND BELIEF, THE SECURITIES REFERRED TO ABOVE WERE ACQUIRED AND
ARE HELD IN THE ORDINARY COURSE OF BUSINESS AND WERE NOT
ACQUIRED AND ARE NOT HELD FOR THE PURPOSE OF OR WITH THE
EFFECT OF CHANGING OR INFLUENCING THE CONTROL OF THE ISSUER OF
SUCH SECURITIES AND WERE NOT ACQUIRED AND ARE NOT HELD IN
CONNECTION WITH OR AS A PARTICIPANT IN ANY TRANSACTION HAVING
SUCH PURPOSE OR EFFECT.
<PAGE>
Schedule 13G Page 9 of 9
CUSIP No. 848457107 Spiegel, Inc.
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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.
BERGER ASSOCIATES, INC.:
February 16, 1999
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Date
/s/ Brian S. Ferrie
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Signature
Brian S. Ferrie, Vice President -
Compliance
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Name/Title
KANSAS CITY SOUTHERN INDUSTRIES, INC.
February 16, 1999
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Date
/s/ Louis G. Van Horn
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Signature
Louis G. Van Horn,
Vice President and Comptroller
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Name/Title
<PAGE>
EXHIBIT INDEX
Exhibit Document Page No.
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A Joint Filing Agreement A-1
<PAGE>
Exhibit A
to
SCHEDULE 13G
Berger Associates, Inc.
and
KANSAS CITY SOUTHERN INDUSTRIES, INC.
Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934,
Berger Associates, Inc., a Delaware corporation, and Kansas City Southern
Industries, Inc., a Delaware corporation, hereby agree that the preceding
Schedule 13G is being filed on behalf of each of them.
IN WITNESS WHEREOF, the parties hereto have duly executed this
agreement on this 16th day of February, 1999.
BERGER ASSOCIATES, INC.:
/S/ BRIAN S. FERRIE
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Brian S. Ferrie
Vice President - Compliance
KANSAS CITY SOUTHERN INDUSTRIES, INC.
/S/ LOUIS G. VAN HORN
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Louis G. Van Horn,
Vice President and Comptroller
A-1
