SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
INFORMATION STATEMENT PURSUANT TO RULES 13D-1 AND 13D-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934 (the "Act")
Rochester Medical Corporation
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(Name of Issuer)
Common Stock, without par value
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(Title of Class and Securities)
771497-10-4
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(CUSIP Number)
CUSIP # 771497-10-4 Schedule 13G
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(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Vector Securities International, Inc.
36-3565040
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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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(5) SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 276,415
EACH --------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON 0
WITH --------------------------------------------------
(8) SHARED DISPOSITIVE POWER
276,415
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
276,415
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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 5.2% (See
response to Item 4).
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(12) TYPE OF REPORTING PERSON*
BD
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CUSIP # 771497-10-4 Schedule 13G
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(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
D. Theodore Berghorst
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) ( )
(b) ( )
- -----------------------------------------------------------------------------
(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
United States Citizen
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(5) SOLE VOTING POWER
NUMBER OF 30,000
SHARES --------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 276,415
EACH --------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON 30,000
WITH --------------------------------------------------
(8) SHARED DISPOSITIVE POWER
276,415
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
306,415
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(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN
SHARES* ( )
- -----------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.8% (See
response to Item 4).
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(12) TYPE OF REPORTING PERSON*
IN
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CUSIP # 771497-10-4 Schedule 13G
Item 1(a). Name of Issuer:
Rochester Medical Corporation
Item 1(b). Address of Issuer's Principal Executive Offices:
One Rochester Medical Drive
Stewartville, Minnesota 55976
Item 2(a). Name of Persons Filing:
Item 2(b). Address of Principal Business Office or, if None,
Residence:
Item 2(c). Citizenship:
This Statement is filed by the following
person (the "Reporting Person"):
Vector Securities International, Inc.
1751 Lake Cook Road
Deerfield, Illinois 60015
(Delaware Corporation)
D. Theodore Berghorst
Chairman and Chief Executive Officer
Vector Securities International, Inc.
1751 Lake Cook Road
Deerfield, Illinois 60015
(United States Citizen)
Item 2(d). Title of Class of Securities:
Common Stock, without par value ("Common Stock")
Item 2(e). CUSIP Number:
771497-10-4
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) [X] Broker or dealer registered under Section
15 of the Act,
Vector Securities International, Inc.
(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) [ ] Investment Adviser registered under
Section 203 of the Investment Advisers Act of
1940,
(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 Rule 13d-1(b)(1)(ii)(F),
(g) [X] Parent Holding Company, in accordance
with Rule 13d-1(b)(1)(ii)(G); see Item 7,
Mr. Berghorst, Chairman and Chief
Executive Officer of Vector Securities
International, Inc. (individual who may be
deemed to control Vector Securities
International, Inc.)
(h) [ ] Group, in accordance with Rule 13d-
1(b)(1)(ii)(H).
Item 4. Ownership.
As of December 31, 1998, the Reporting Person
beneficially owned in the aggregate more than five
percent of the outstanding Common Stock as follows:
Vector Securities International, Inc.
(a) Amount beneficially owned: 276,415
(b) Percent of class: 5.2%*
(c) Number of shares as to which such person has:
(i) Sole power to vote or to
direct the vote:
0
(ii) Shared power to vote or to direct the vote:
276,415
(iii) Sole power to dispose or to direct the
disposition of: 0
(iv) Shared power to dispose or to direct the
disposition of: 276,415
D. Theodore Berghorst
(a) Amount beneficially owned: 306,415
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* Percentages based on 5,321,000 shares of the
Issuer's Common Stock outstanding as of
December 4, 1998, according to the Issuer's
report on Form 10-K for the fiscal year ended
September 30, 1998.
(b) Percent of class: 5.8%**
(c) Number of shares as to which such person has:
(i) Sole power to vote or to
direct the vote:
30,000
(ii) Shared power to vote or to direct the vote:
276,415
(iii) Sole power to dispose or to direct the
disposition of: 30,000
(iv) Shared power to dispose or to direct the
disposition of: 276,415
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.
See Item 3a. No Common Stock is held directly by D.
Theodore Berghorst, an individual who may be deemed
to control Vector Securities International, Inc.
Item 8. Identification and Classification of Members of the
Group.
N/A
Item 9. Notice of Dissolution of Group.
N/A
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** Percentages based on 5,321,000 shares of the
Issuer's Common Stock outstanding as of
December 4, 1998, according to the Issuer's
report on Form 10-K for the fiscal year ended
September 30, 1998.
Item 10. Certification.
"By signing below the undersigned certifies that,
to the best of his or its knowledge and belief, the
securities referred to above were acquired in the
ordinary course of its over-the- counter
market-making business and were not acquired for
the purpose of and do not have the effect of
changing or influencing the control of the issuer
of such securities and were not acquired in
connection with or as a participant in any
transaction having such purpose or effect."
SIGNATURE
After reasonable inquiry and to the best of the knowledge and
belief of the undersigned, the undersigned certifies that the information
set forth in this statement is true, complete and correct.
Date: February 15, 1999
VECTOR SECURITIES INTERNATIONAL, INC.
By: /s/ D. Theodore Berghorst
------------------------------------
Name: D. Theodore Berghorst
Title: Chairman and Chief Executive
Officer
D. THEODORE BERGHORST
By: /s/ D. Theodore Berghorst
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Name: D. Theodore Berghorst
Title: Chairman and Chief Executive
Officer
Exhibit A
The undersigned persons hereby agree and consent to the joint
filing on their behalf of this Schedule 13G in connection with their
beneficial ownership of the common stock of Rochester Medical Corporation
on February 15, 1999.
VECTOR SECURITIES INTERNATIONAL, INC.
By: /s/ D. Theodore Berghorst
------------------------------------
Name: D. Theodore Berghorst
Title: Chairman and Chief Executive
Officer
D. THEODORE BERGHORST
By: /s/ D. Theodore Berghorst
----------------------------------
Name: D. Theodore Berghorst
Title: Chairman and Chief Executive
Officer
