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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. 13)*
RUSS BERRIE AND COMPANY, INC.
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(Name of Issuer)
Common Stock, $0.10 stated value
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(Title of Class of Securities)
782233 10 0
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(CUSIP Number)
Check the following box if a fee is being paid with this statement [ ]. (A fee
is not required only if the filing 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).
*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 1 of 7 Pages
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13G
CUSIP No. 782233 10 0 Page 2 of 7 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Russell Berrie
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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
U.S.A.
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5 SOLE VOTING POWER
11,351,281
NUMBER OF
SHARES -----------------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY
EACH Not applicable
REPORTING -----------------------------------------------------------------
PERSON
WITH 7 SOLE DISPOSITIVE POWER
11,351,281
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8 SHARED DISPOSITIVE POWER
Not applicable
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,351,281
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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
51.9%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 2 of 7 Pages
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SCHEDULE 13G*
Item 1(a). Name of Issuer:
Russ Berrie and Company, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
111 Bauer Drive
Oakland, New Jersey 07436
Item 2(a). Name of Person Filing:
Russell Berrie
Item 2(b). Address of Principal Business Office, or, if none, Residence:
111 Bauer Drive
Oakland, New Jersey 07436
Item 2(c). Citizenship:
U.S.A.
Item 2(d). Title of Class of Securities:
Common Stock, $0.10 stated value
Item 2(e). CUSIP Number:
782233 10 0
Item 3. If this Statement is Filed pursuant to Rules 13d-1(b) or
13d-2(b), check whether the person filing is a (certain
items):
Not applicable
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* This Schedule is being filed pursuant to Section 13(g) of the Securities
Exchange Act of 1934; its filing shall not be construed as an admission that the
person filing the Schedule is the
Page 3 of 7 Pages
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beneficial owner for the purposes of Section 16 of the Securities Exchange Act
of 1934 of any of the shares stated in this Schedule to be beneficially owned by
such person.
Page 4 of 7 Pages
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Item 4. Ownership:
(a) Amount beneficially owned:
11,351,281*
(b) Percent of class:
51.9%
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
11,351,281
(ii) shared power to vote or to direct the vote:
Not applicable.
(iii) sole power to dispose or to direct the disposition
of:
11,351,281
(iv) shared power to dispose or to direct the
disposition of:
Not applicable.
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* Does not include 280,150 shares held beneficially and of
record by The Russell Berrie Foundation, of which Mr. Berrie
is a trustee.
Items 4(c)(i) and 4(c)(iii) include (i) 646,589 shares held of
record by Mr. Russell Berrie, (ii) 9,703,542 shares held of
record by The Russell Berrie 1991 Trust, of which Mr. Berrie
is the grantor possessing the unrestricted power to revoke the
trust, a trustee possessing sole voting power and sole
dispositive power (as to any transfer other than to Mr.
Berrie) with respect to the shares and, until his death, the
sole beneficiary, (iii) 595,188 shares held of record by the
Russell Berrie 1995 Annuity Trust, of which Mr. Berrie is the
grantor possessing the unrestricted power to revoke the trust,
a trustee possessing sole voting power and sole
Page 5 of 7 Pages
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dispositive power (as to any transfer other than to Mr.
Berrie) with respect to the shares and, until his death, the
sole beneficiary, (iv) 404,812 shares held of record by the
Russell Berrie 1996 Annuity Trust, of which Mr. Berrie is the
grantor possessing the unrestricted power to revoke the trust,
a trustee possessing sole voting power and sole dispositive
power (as to any transfer other than to Mr. Berrie) with
respect to the shares and, until his death, the sole
beneficiary, and (v) 150 shares held of record by Mr. Berrie
as custodian for one of his daughters. Also includes 1,000
shares held of record by the Angelica 1992 Trust for the
benefit of Mr. Berrie's wife. Mr. Berrie disclaims beneficial
ownership of the shares held in the Angelica 1992 Trust.
Item 5. Ownership of Five Percent or Less of a Class:
Not applicable
Item 6. Ownership of More Than Five Percent on Behalf of Another
Person:
Myron Rosner may be deemed to be a beneficial owner of certain
of the shares set forth in response to Item 4(a).
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 Group:
Not applicable
Item 10. Certification:
Not applicable
Page 6 of 7 Pages
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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.
February , 1997
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(Date)
/s/ Russell Berrie
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(Signature)
Russell Berrie
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(Name)
Page 7 of 7 Pages
