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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(RULE 13d-101)
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1)*
MAXWELL SHOE COMPANY INC.
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(Name of Issuer)
Class A Common Stock
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(Title of Class of Securities)
577766 10 8
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(CUSIP Number)
Mark J. Cocozza
Maxwell Shoe Company Inc.
101 Sprague Street
P.O. Box 37
Readville (Boston), MA 02137
(617) 364-5090
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
April 27, 1998
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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 box [_].
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 1 of 5 pages
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SCHEDULE 13D
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CUSIP No. 577766 10 8
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NAME OF REPORTING PERSON
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Mark J. Cocozza
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [x]
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SEC USE ONLY
3
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SOURCE OF FUNDS*
4
PF
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
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CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
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SOLE VOTING POWER
7
NUMBER OF
635,612
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
0
OWNED BY
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EACH SOLE DISPOSITIVE POWER
9
REPORTING 635,612
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
0
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
635,612
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
7.1%
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TYPE OF REPORTING PERSON*
14
IN
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Page 2 of 5 pages
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ITEM 1. SECURITY AND ISSUER
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Class A Common Stock, $.01 par value
Maxwell Shoe Company Inc.
101 Sprague Street
P.O. Box 37
Readville (Boston), MA 02137
Item 2. IDENTITY AND BACKGROUND
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(a) Mark J. Cocozza
(b) 101 Sprague Street
P.O. Box 37
Readville (Boston), MA 02137
(c) Chief Executive Officer and
President
Maxwell Shoe Company Inc.
101 Sprague Street
P.O. Box 37
Readville (Boston), MA 02137
(d) No.
(e) No.
(f) U.S. Citizen.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
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The Issuer will issue 588,412 shares to Mr. Cocozza, the President and
Chief Executive Officer of the Issuer, in the event of the exercise of
the remaining options granted to Mr. Cocozza on or after January 26,
1995 pursuant to the terms of the Stock Option and Registration Rights
Agreement dated as of January 26, 1994, by and between the Issuer and
Mark J. Cocozza (the "Option Agreement"), which options are currently
exercisable. The remaining options granted pursuant to the Option
Agreement entitle Mr. Cocozza to purchase up to 588,412 shares of the
Issuer's Class A Common Stock at an exercise price of $1.50 per share
resulting in a maximum aggregate purchase price of $882,618.00. The
Issuer will also issue [47,200] shares to Mr. Cocozza in the event of
the exercise of certain vested options previously granted to Mr.
Cocozza pursuant to the Issuer's 1994 Stock Incentive Plan, which
options are currently exercisable. The [47,200] options granted
pursuant to the 1994 Stock Incentive Plan entitle Mr. Cocozza to
purchase up to [47,200] shares of the Issuer's Class A Common Stock at
various exercise prices.
Item 4. PURPOSE OF TRANSACTION
----------------------
Mr. Cocozza presently has no definite plans for exercising control
over the Issuer and, if acquired, the shares reported in this Schedule
13D will be acquired for investment purposes.
Mr. Cocozza presently has no plans to acquire any additional
securities of the Issuer or to dispose of any securities of the
Issuer. However, it is possible that Mr. Cocozza will acquire
additional securities of the Issuer or dispose of securities of the
Issuer in the future.
Page 3 of 5 pages
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Item 5. INTEREST IN SECURITIES OF THE ISSUER
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(a) Mark J. Cocozza.
Aggregate number of shares beneficially owned: 635,612
(588,412 shares pursuant to options to acquire such shares
granted under the Option Agreement and [47,200] shares pursuant
to vested options to acquire such shares granted under the 1994
Stock Incentive Plan)
Percentage of class: 7.1%
(b) All shares listed in response to (a) above are owned with sole
power to vote and sole power to dispose or to direct the
disposition.
(c) On April 27, 1998, Mr. Cocozza exercised 300,000 options pursuant
to the Option Agreement. The 300,000 shares of Class A Common
Stock issued by the Issuer pursuant to such exercise were
immediately sold at $17.50 per share by Mr. Cocozza in a public
offering to a group of underwriters.
(d) Not applicable.
(e) Not applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
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TO SECURITIES OF THE ISSUER
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With the exception of the Option Agreement and the Employment
Agreement (as defined below), there are no contracts, arrangements,
understandings or relationships between the person named in Item 2 and
any other person with respect to any securities of the Issuer. On
April 27, 1998, the Issuer entered into a new employment agreement
(the "Employment Agreement") with Mr. Cocozza. The Employment
Agreement granted on April 27, 1998, 75,000 stock options to Mr.
Cocozza, each with an exercise price equal to the fair market value on
the date of grant and subject to certain time and stock price
performance vesting provisions.
Item 7. MATERIAL TO BE FILED AS EXHIBITS
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None.
Page 4 of 5 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.
Dated: May 5, 1998
/s/ Mark J. Cocozza
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Mark J. Cocozza
Page 5 of 5 pages
