-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FIbe+cl+HKPygpK7IIcIme1b7uXKoJ0ucy6wvfbtv4vpAUboOT45jgZMjNp9KzxE pR1DHQGG98F5bt4iMED5GA== 0000893750-98-000094.txt : 19980313 0000893750-98-000094.hdr.sgml : 19980313 ACCESSION NUMBER: 0000893750-98-000094 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980312 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DM MANAGEMENT CO /DE/ CENTRAL INDEX KEY: 0000910721 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-CATALOG & MAIL-ORDER HOUSES [5961] IRS NUMBER: 042973769 STATE OF INCORPORATION: DE FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-45515 FILM NUMBER: 98564564 BUSINESS ADDRESS: STREET 1: 25 RECREATION PARK DR STREET 2: STE 200 CITY: HINGHAM STATE: MA ZIP: 02043 BUSINESS PHONE: 6177402718 MAIL ADDRESS: STREET 1: 25 RECREATION PARK DRIVE SSTE 200 CITY: HINGHAM STATE: MA ZIP: 052043 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BAT INDUSTRIES PLC /FI CENTRAL INDEX KEY: 0000799853 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: P O BOX 345 STREET 2: 50 VICTORIA ST WINDSOR HOUSE CITY: LONDON ENGLAND STATE: X0 ZIP: 00000 BUSINESS PHONE: 01101712227979 MAIL ADDRESS: STREET 1: WINDSOR HOUSE STREET 2: 50 VICTORIA STREET CITY: LONDON ENGLAND STATE: X0 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: BAT INDUSTRIES PLC /FI DATE OF NAME CHANGE: 19950214 SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* ------------ DM MANAGEMENT COMPANY ----------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.10 per share - ----------------------------------------------------------------------------- (Title of Class of Securities) 233233105 -------------------- (CUSIP Number) *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). CUSIP No. 233233105 13G 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON B.A.T Industries p.l.c. __ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /__/ __ (b) /__/ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION England 5 SOLE VOTING POWER NUMBER OF SHARES -0- BENEFICIALLY OWNED BY 6 SHARED VOTING POWER EACH REPORTING 349,672 PERSON WITH 7 SOLE DISPOSITIVE POWER -0- 8 SHARED DISPOSITIVE POWER 349,672 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 349,672 __ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* /__/ N.A. 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.16% 12 TYPE OF REPORTING PERSON* HC *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 233233105 13G 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Threadneedle Investment Managers Ltd. __ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /__/ __ (b) /__/ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION England 5 SOLE VOTING POWER NUMBER OF -0- SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 349,672 REPORTING PERSON 7 SOLE DISPOSITIVE POWER -0- 8 SHARED DISPOSITIVE POWER 349,672 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 349.672 __ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* /__/ N.A. 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.16% 12 TYPE OF REPORTING PERSON* IA *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1(a). Name of Issuer: DM Management Company Item 1(b). Address of Issuer's Principal Executive Offices: 25 Recreation Park Dr., Ste. 200 Hingham, MA 02043 Item 2(a). Name of Person Filing: B.A.T Industries p.l.c. Threadneedle Investment Managers Ltd. Item 2(b). Address of Principal Business Office or, if none, Residence: B.A.T Industries p.l.c. Windsor House 50 Victoria Street London SW1H ONL England Threadneedle Investment Managers Ltd. 60 St. Mary Axe London EC3A 8JQ England Item 2(c). Citizenship: B.A.T Industries p.l.c. - England Threadneedle Investment Managers Ltd. - England Item 2(d). Title of Class of Securities: Common Stock, par value $0.10 per share Item 2(e). Cusip Number: 233233105 Item 3: If this statement is being filed pursuant to Rule 13d-1(c), check this box \x\ Item 4 Ownership: (a) Amount Beneficially Owned: 349,672 The shares being reported were acquired by insurance exchanges, for which Threadneedle Investment Managers Ltd. ("Threadneedle") acts as attorney-in-fact or by investment funds for which Threadneedle acts as manager and investment adviser and exercises investment discretion. No such entity beneficially owns in excess of 5% of the class of shares in respect of which this report is being made. (b) Percent of Class: 6.16% (c) Number of shares as to which person has: (i) Sole voting power: -0- (ii) Shared voting power: 349,672 (iii) Sole disposition power: -0- (iv) Shared disposition power: 349,672 Item 7 Not applicable. Item 8: Not applicable. Item 9: Not applicable. Item 10: Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURES 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. B.A.T INDUSTRIES p.l.c. Dated March 12, 1998 By: /s/ Anthony Robert Holliman ------------------------------------ Name: Anthony Robert Holliman Title: Assistant Corporate Secretary SIGNATURES 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. THREADNEEDLE INVESTMENT MANAGERS ltd. Dated March 12, 1998 By: /s/ Robin D. Clark ----------------------------------------- Name: Robin D. Clark Title: Director, Threadneedle Investment Managers Ltd. -----END PRIVACY-ENHANCED MESSAGE-----