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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
RICHEY ELECTRONICS, INC.
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(Name of Issuer)
COMMON STOCK $0.001 PAR VALUE
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(Title of Class of Securities)
763302-10-6
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(CUSIP Number)
Kathy T. Wales
Dewey Ballantine
333 South Hope Street, 30th Floor
Los Angeles, California 90071
(213) 626-3399
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(Name, Address and Telephone Number of Person Authorized to Receive Notices
and Communications)
July 17, 1996
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(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 Rule 13d-1(b)(3) or (4), check the following
box / /.
Check the following box if a fee is being paid with the statement / /. (A
fee is not required only if the reporting person: (1) has a previous
statement on file reporting beneficial ownership of more than five percent of
the class of securities described in Item 1; and (2) has filed no amendment
subsequent thereto reporting beneficial ownership of less than five percent
of such class.) (See Rule 13d-7.)
NOTE: Six copies of this statement, including all exhibits, should be
filed with the Commission. See Rule 13d-1(a) 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).
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SCHEDULE 13D
CUSIP No. 763302-10-6 Page 2 of 11 Pages
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(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
BARCLAY AND COMPANY, INC. (ID #13-1869590)
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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) SOURCE OF FUNDS
N/A
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(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) / /
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(6) CITIZENSHIP OR PLACE OF ORGANIZATION
Washington
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NUMBER OF SHARES (7) SOLE VOTING POWER
BENEFICIALLY OWNED 0
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING POWER
0
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(9) SOLE DISPOSITIVE POWER
0
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(10) SHARED DISPOSITIVE POWER
0
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(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
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(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES / /
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(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0%
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(14) TYPE OF REPORTING PERSON
CO
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SCHEDULE 13D
CUSIP No. 763302-10-6 Page 3 of 11 Pages
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(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
DONALD I. ZIMMERMAN
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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) SOURCE OF FUNDS
N/A
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(5) CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) / /
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(6) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES (7) SOLE VOTING POWER
BENEFICIALLY OWNED 528,459
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING POWER
0
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(9) SOLE DISPOSITIVE POWER
528,459
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(10) SHARED DISPOSITIVE POWER
0
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(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
528,459
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(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES / /
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(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.82%
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(14) TYPE OF REPORTING PERSON
IN
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SCHEDULE 13D
CUSIP No. 763302-10-6 Page 4 of 11 Pages
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(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
DEBORAH LEVY
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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) SOURCE OF FUNDS
N/A
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(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) / /
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(6) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES (7) SOLE VOTING POWER
BENEFICIALLY OWNED 876,488
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING POWER
0
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(9) SOLE DISPOSITIVE POWER
876,488
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(10) SHARED DISPOSITIVE POWER
0
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(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
876,488
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(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES / /
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.66%
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(14) TYPE OF REPORTING PERSON
IN
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PREAMBLE
This Amendment No. 2 by Barclay and Company, Inc.
("Barclay"), Donald I. Zimmerman and Deborah Levy amends and
supplements the report on Schedule 13D, originally filed with the
Securities and Exchange Commission on January 12, 1994, as
previously amended on May 24, 1995 (the "Schedule 13D"), with
respect to the beneficial ownership of shares of common stock,
$0.001 par value ("Common Stock") of Richey Electronics, Inc., a
Delaware corporation ("Richey"). This amendment is being filed
to report the pro rata distribution of shares of Common Stock
previously held by Barclay to its shareholders, Mr. Zimmerman and
Ms. Levy.
This amendment is intended to amend and supplement the
Schedule 13D solely with respect to Barclay, Donald Zimmerman and
Deborah Levy. No amendment or supplement is intended with
respect to any other individual or entity who filed such
statement on Schedule 13D jointly with Barclay, Mr. Zimmerman and
Ms. Levy.
Unless otherwise indicated, each capitalized term used
but not defined herein shall have the meaning assigned to such
term in the Schedule 13D.
ITEM 1. SECURITY AND ISSUER.
The information contained in Item 1 is hereby amended to read, in
its entirety, as follows:
The class of equity securities to which this Statement
relates is the Common Stock of Richey whose principal executive
offices are located at 7441 Lincoln Way, Garden Grove, California
92641.
All calculations of percentage of Common Stock are
based on 9,073,685 shares of Common Stock being outstanding as of
July 31, 1996.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
The information contained in Item 5 is hereby amended to read, in
its entirety, as follows:
All calculations relating to percentage of ownership of
Richey Common Stock are based on 9,073,685 shares of Richey
Common Stock being outstanding as of July 31, 1996.
(a)-(b). On July 17, 1996, in connection with its
dissolution, Barclay distributed pro rata to its shareholders its
shares of Richey Common Stock. Mr. Zimmerman and Ms. Levy are
shareholders of Barclay. Barclay received no consideration from
Mr. Zimmerman or Ms. Levy for such distribution. Barclay now
beneficially owns no shares of Richey Common Stock.
Following the distribution of Barclay's shares of
Richey Common Stock, Mr. Zimmerman directly and beneficially owns
528,459 shares of Common Stock which represents approximately
5.82% of the Common Stock outstanding. Mr. Zimmerman has the
sole power to vote and to dispose of the 528,459 shares of Common
Stock beneficially owned by him.
Following the distribution of Barclay's shares of
Richey Common Stock, Ms. Levy directly and beneficially owns
876,488 shares of Common Stock which represents approximately
Page 5 of 11
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9.66% of the Common Stock outstanding. Ms. Levy has the sole
power to vote and to dispose of the 876,488 shares of Common
Stock beneficially owned by her.
(c) Other than as described in the first paragraph of
Item 5(a)-(b) above, Barclay, Mr. Zimmerman and Ms. Levy have not
purchased or sold shares of Common Stock during the last 60 days.
To the best knowledge of Barclay, except as set forth above, none
of its directors or executive officers has purchased or sold
shares of Common Stock during the past 60 days.
(d) Mr. Zimmerman has the sole right to receive and
the sole power to direct the receipt of dividends from, or the
proceeds of, the sale of the Common Stock owned by him. Ms. Levy
has the sole right to receive and the sole power to direct the
receipt of dividends from, or the proceeds of, the sale of the
Common Stock owned by her.
(e) On July 17, 1996, Barclay ceased to be the
beneficial owner of more than 5% of the outstanding shares of
Richey Common Stock. Barclay now owns 0% of the outstanding
shares of Richey Common Stock.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
The information contained in Item 7 is hereby amended to add the
following:
E. Agreement to file jointly dated August 15, 1996 by and
between Barclay, Donald I. Zimmerman and Deborah Levy.
Page 6 of 11
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SIGNATURE
After reasonable inquiry and to the best knowledge and
belief of the undersigned, the undersigned certifies that the
information set forth in this statement is true, complete and
correct.
Dated: August 15, 1996
Barclay and Company, Inc.
By: /s/ Donald I. Zimmerman
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Donald I. Zimmerman
President
Page 7 of 11
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SIGNATURE
After reasonable inquiry and to the best knowledge and
belief of the undersigned, the undersigned certifies that the
information set forth in this statement is true, complete and
correct.
Dated: August 15, 1996
/s/ Donald I. Zimmerman
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Donald I. Zimmerman
Page 8 of 11
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SIGNATURE
After reasonable inquiry and to the best knowledge and
belief of the undersigned, the undersigned certifies that the
information set forth in this statement is true, complete and
correct.
Dated: August 15, 1996
/s/ Deborah Levy
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Deborah Levy
Page 9 of 11
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EXHIBIT INDEX
Exhibit Page
No. Description No.
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E. Agreement by Barclay and Company, Inc., Donald 11
Zimmerman and Deborah Levy to file jointly
Amendment No. 2 to Schedule 13D.
Page 10 of 11
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EXHIBIT E
AGREEMENT
Pursuant to Reg. Section 240.13d-1(f)(1)(iii) under the
Securities Exchange Act of 1934, we hereby agree in writing that
the attached Amendment No. 2 to Schedule 13D is filed on behalf
of each of us.
Date: August 15, 1996
BARCLAY & CO.
/s/ Donald I. Zimmerman
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By: Donald I. Zimmerman
Title: President
DONALD I. ZIMMERMAN
/s/ Donald I. Zimmerman
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DEBORAH LEVY
/s/ Deborah Levy
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Page 11 of 11
