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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1 )
HOSOI GARDEN MORTUARY, INC.
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(Name of Issuer)
COMMON SHARES, par value $.20 per share
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(Title of Class of Securities)
44090300
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(CUSIP Number)
Julie S. Shimonishi, 30 North Kukui Street
Honolulu, Hawaii, 96817, (808) 528-3735
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(Name, Address, Telephone Number of Person
Authorized to Receive Notices and Communications)
March 21, 1995
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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 five percent or less 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 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 1 of 8
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CUSIP No. 44090300
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1 NAME OF REPORTING PERSON
S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Sadako Hosoi
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2 CHECK THE APPROPRIATE ROW IF A MEMBER OF A GROUP
(a) X
(b)
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
No funds were or are to be used.
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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 of America
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NUMBER OF 7 SOLE VOTING POWER
SHARES Nil
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BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 158,250 shs.
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EACH 9 SOLE DISPOSITIVE POWER
REPORTING Nil
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PERSON 10 SHARED DISPOSITIVE POWER
WITH 158,250 shs.
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
158,250 shs.
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12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
8.59%
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14 TYPE OF REPORTING PERSON
IN
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Page 2 of 8
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CUSIP No. 44090300
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1 NAME OF REPORTING PERSON
S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Julie Sakaye Shimonishi
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2 CHECK THE APPROPRIATE ROW IF A MEMBER OF A GROUP
(a) X
(b)
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
No funds were or are to be used.
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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 of America
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NUMBER OF 7 SOLE VOTING POWER
SHARES 210,784
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BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 158,250
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EACH 9 SOLE DISPOSITIVE POWER
REPORTING 220,784
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PERSON 10 SHARED DISPOSITIVE POWER
WITH 158,250
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
379,034
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12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
20.57%
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14 TYPE OF REPORTING PERSON
IN
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Page 3 of 8
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CUSIP No. 44090300
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1 NAME OF REPORTING PERSON
S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Hosoi Family Limited Partnership
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2 CHECK THE APPROPRIATE ROW IF A MEMBER OF A GROUP
(a) X
(b)
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
No funds were or are to be used.
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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
Hawaii
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NUMBER OF 7 SOLE VOTING POWER
SHARES 160,250
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BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY Nil
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EACH 9 SOLE DISPOSITIVE POWER
REPORTING 160,250
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PERSON 10 SHARED DISPOSITIVE POWER
WITH Nil
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
160,250
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12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
8.70%
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14 TYPE OF REPORTING PERSON
00
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Page 4 of 8
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CUSIP No. 44090300
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1 NAME OF REPORTING PERSON
S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Herman S. Hosoi Trust
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2 CHECK THE APPROPRIATE ROW IF A MEMBER OF A GROUP
(a)
(b)
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
No funds were or are to be used.
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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
Hawaii
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NUMBER OF 7 SOLE VOTING POWER
SHARES 158,250
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BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY NIL
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EACH 9 SOLE DISPOSITIVE POWER
REPORTING 158,250
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PERSON 10 SHARED DISPOSITIVE POWER
WITH Nil
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
158,250
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12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
8.59%
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14 TYPE OF REPORTING PERSON
00
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SCHEDULE 13D
Item 1. Security and Issuer.
This statement relates to the common shares, par value $.20 per
share, of which the issuer is Hosoi Garden Mortuary, Inc., 30 North Kukui
Street, Honolulu, Hawaii 96817.
Item 2. Identity and Background.
This statement is filed by Sadako Hosoi, individually and as
co-trustee of the Herman S. Hosoi Trust, and Julie Sakaye Shimonishi,
individually and as co-trustee of the Herman S. Hosoi Trust, and general
partner of the HOSOI FAMILY LIMITED PARTNERSHIP. The trust and the limited
partnership each exist under Hawaii law.
The following information relates to Sadako Hosoi and Julie
Sakaye Shimonishi and where applicable, the trust and the limited partnership.
(b) The business address of each individual, the trust and
the limited partnership is 30 North Kukui Street, Honolulu, Hawaii 96817.
(c) Mrs. Hosoi is a former Chairperson of the Board and
Treasurer of Hosoi Garden Mortuary, Inc. Mrs. Shimonishi is a school teacher
employed by the State of Hawaii, Department of Education, Honolulu, Hawaii.
Mrs. Hosoi and Mrs. Shimonishi are both directors of Hosoi Garden Mortuary,
Inc.
(d) Neither individual nor the trust or the limited
partnership has been convicted in a criminal proceeding.
(e) Neither individual nor the trust or the limited
partnership has been a party to a civil proceeding of a judicial or
administrative body during the last five years.
(f) Both individuals are citizens of the United States of
America.
Item 3. Source and Amount of Funds or Other Consideration.
Neither individual and neither the trust nor the limited
partnership named in Item 2 paid any consideration for the common shares.
Item 4. Purpose of the Transaction.
The common shares were received by gift or upon death. Neither
individual, the trust nor the limited partnership named in Item 2 currently has
any plans or proposals which relate to or would result in:
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(a) The acquisition by any person of additional securities
of the issuer, or the disposition of securities of the issuer;
(b) An extraordinary corporate transaction, such as a
merger, reorganization or liquidation, involving the issuer or any of its
subsidiaries;
(c) A sale or transfer of a material amount of assets of
the issuer or any of its subsidiaries;
(d) Any change in the present board of directors or
management of the issuer, including any plans or proposals to change the number
or term of directors or to fill any existing vacancies on the board;
(e) Any material change in the present capitalization or
dividend policy of the issuer;
(f) Any other material change in the issuer's business or
corporate structure;
(g) Changes in the issuer's articles of association or
bylaws or other actions which may impede the acquisition of control of the
issuer by any person;
(h) Causing a class of securities of the issuer to be
delisted from a national securities exchange or to cease to be authorized to be
quoted in an inter-dealer quotation system of a registered national securities
association;
(i) A class of equity securities of the issuer becoming
eligible for termination of registration pursuant to Section 12(g)(4) of the
Act; or
(j) Any action similar to any of those listed above.
Item 5. Interest in Securities of the Issuer.
The individuals named in Item 2 share the power to vote and
direct the disposition of 158,250 common shares, or 8.59% of the outstanding
shares.
In addition, Mrs. Shimonishi has sole power to vote and direct
the disposition of an additional 210,784 common shares, or a total of 379,034
shares, which is 19.71% of the outstanding shares.
The HOSOI FAMILY LIMITED PARTNERSHIP owns 160,250 common shares,
or 8.40% of the outstanding shares, for which Mrs. Shimonishi has voting and
disposition powers.
The Herman S. Hosoi Trust owns 158,250 common shares, or 8.59% of
the outstanding shares, for which Mrs. Hosoi and Mrs. Shimonishi share voting
and disposition powers.
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Item 6. Contracts, Arrangements, Understandings or Relationships With
Respect to Securities of the Issuer.
Mrs. Hosoi is the mother of Mrs. Shimonishi. They are
co-trustees under the trust instruments of the two trusts named in Item 2.
Mrs. Shimonishi is the general partner of the Hosoi Family Limited Partnership
of which Mrs. Hosoi is a limited partner.
Item 7. Material previously Filed as Exhibits.
Page
10 1. Filing Agreement as required by Rule 13d-1(f).
11 2. Sadako Hosoi Trust Revocable Living Trust Agreement
dated October 17, 1974, as amended February 20, 1978
and December 4, 1978.
33 3. Herman S. Hosoi Trust Revocable Living Trust
Agreement dated October 17, 1974, as amended
February 20, 1978.
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
correct and complete.
December 15, 1995 SADAKO HOSOI
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SADAKO HOSOI, individually and as co-trustee of
the HERMAN S. HOSOI TRUST named in Item 2 of the
statement on Schedule 13D
December 15, 1995 JULIE S. SHIMONISHI
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JULIE S. SHIMONISHI, individually and as co-
trustee of the HERMAN S. HOSOI TRUST and General
Partner of the Hosoi Family Limited Partnership
named in Item 2 of the statement on Schedule 13D
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FILING AGREEMENT
The undersigned agree to file jointly a single statement on
Schedule 13D relating to common shares, par value $.20 per share, of Hosoi
Garden Mortuary, Inc.
December 15, 1995 SADAKO HOSOI
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SADAKO HOSOI, individually and as co-trustee of
the HERMAN S. HOSOI TRUST named in Item 2 of the
statement on Schedule 13D
December 15, 1995 JULIE S. SHIMONISHI
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JULIE S. SHIMONISHI, individually and as co-
trustee of the HERMAN S. HOSOI TRUST and General
Partner of the Hosoi Family Limited Partnership
named in Item 2 of the statement on Schedule 13D
