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Page 1 of 4
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 5)*
ROYAL APPLIANCE MFG. CO.
-------------------------------------------------------------
(Name of Issuer)
Common Shares, without par value
------------------------------------------------
(Title of Class of Securities)
780076 10 5
------------------------
(CUSIP Number)
Walter E. Jospin, Esq.
Troutman Sanders LLP
600 Peachtree Street, N.E., Suite 5200, Atlanta, Georgia 30308 (404-885-3107)
-----------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
N/A
-------------------------------------------------------
(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 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 13D
CUSIP No. 780076 10 5 Page 2 of 4 Pages
---------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John A. Balch
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
N/A
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
N/A
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) [ ]
N/A
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 705,472
SHARES -----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
EACH 256,534
REPORTING -----------------------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH
705,472
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
256,534
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
962,006
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
N/A
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.0%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE>
John A. Balch
Schedule 13D - Amend. No. 5
Page 3 of 4
Amendment No. 5 to Schedule 13D
-------------------------------
The Schedule 13D of John A. Balch, dated November 1, 1995, (the "Original
Statement") relating to the Common Shares, without par value (the "Common
Shares") of Royal Appliance Mfg. Co. (the "Issuer"), as previously amended on
April 5, 1996, is hereby amended as set forth herein. Unless otherwise
indicated, each capitalized term used but not defined herein has the meaning
assigned to such term in the Original Statement.
1. Item 5 is hereby amended as follows:
Mr. Balch is the beneficial owner of 962,006 Common Shares of the Issuer,
which constitutes 4.0% of the total number of Common Shares outstanding based on
the information in the Issuer's report on Form 10-Q for the quarter ended June
30, 1996. Mr. Balch has the sole power to vote and to dispose or direct the
disposition of 705,472 Common Shares, and the shared power to vote or to direct
the vote and to dispose or direct the disposition of 256,534 Common Shares.
As of April 15, 1996, an aggregate of 130,898 Common Shares were transferred
to Mr. Balch's individual account from a trust (the "Annuity Trust") which held
1,003,895 Common Shares and over which Mr. Balch shared the power to vote or to
direct the vote and to dispose or direct the disposition.
The Annuity Trust expired on July 21, 1996 and, as a result, 455,012 Common
Shares were transferred to Mr. Balch's individual account and the remaining
417,985 Common Shares were transferred to new trusts over which Mr. Balch does
not have the sole or shared power to vote or to direct the vote and to dispose
or direct the disposition of the Common Shares held by such new trusts.
<PAGE>
Page 4 of 4
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.
October 24, 1996 /s/ John A. Balch
------------------------------
Signature
John A. Balch
------------------------------
Name/Title
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is signed
on behalf of a person by his authorized representative (other than an executive
officer or general partner of this filing person), evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement, provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
Attention: Intentional misstatements or omissions of fact constitute
Federal criminal violations.
(See 18 U.S.C. 1001)
