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Schroder & Co Inc – ‘SC 13D/A’ on 8/16/96 re: Davis Water & Waste Industries Inc

As of:  Friday, 8/16/96   ·   Accession #:  908645-96-112   ·   File #:  5-15767

Previous ‘SC 13D’:  ‘SC 13D’ on 7/18/96   ·   Latest ‘SC 13D’:  This Filing

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 8/16/96  Schroder & Co Inc                 SC 13D/A               1:7K   Davis Water & Waste Inds Inc      Fulbright & Jawo… LLP/FA

Amendment to General Statement of Beneficial Ownership   —   Schedule 13D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13D/A    Amendment to General Statement of Beneficial           6     16K 
                          Ownership                                              


Document Table of Contents

Page (sequential) | (alphabetic) Top
 
11st Page   -   Filing Submission
3Item 1. Security and Issuer
"Item 2. Identity and Background
"Item 3. Source and Amount of Funds or Other Consideration
"Item 4. Purpose of the Transaction
"Item 5. Interest in Securities of the Issuer
4Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
"Item 7. Material to Be Filed as Exhibits
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SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) DAVIS WATER & WASTE INDUSTRIES, INC. ------------------------------------ (Name of Issuer) Common Stock, $0.01 par value ----------------------------- (Title of Class and Securities) 239 133101 ---------- (CUSIP Number of Class of Securities) Peter M. Schoenfeld c/o Schroder Wertheim & Co. Incorporated 787 Seventh Avenue New York, New York 10019 (212) 492-6000 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 8, 1996 -------------- (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 Statement because of Rule 13-d-1(b)(3) or (4), check the following box: [ ] Check the following box if a fee is being paid with this Statement: [ ] PAGE
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SCHEDULE 13D CUSIP No. 239 133101 Page 2 of 6 Pages 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (a) SCHRODER WERTHEIM & CO. INCORPORATED 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 3. SEC USE ONLY 4. SOURCE OF FUNDS WC OO 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) 6. CITIZENSHIP OR PLACE OF ORGANIZATION (a) UNITED STATES NUMBER 7. SOLE VOTING POWER OF (a) 21,866 SHARES 8. SHARED VOTING POWER BENEFICIALLY (a) 131,134 OWNED BY 9. SOLE DISPOSITIVE POWER EACH (a) 21,866 REPORTING 10. SHARED DISPOSITIVE POWER PERSON WITH (a) 131,134 11. AGGREGATE AMOUND BENEFICIALLY OWNED BY EACH REPORTING PERSON (a) 153,000 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) (a) 4.7% 14. TYPE OF REPORTING PERSON (a) BD IA
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This Amendment No. 1 filed by the Reporting Person amends a report on Schedule 13D filed July 16, 1996. ITEM 1 SECURITY AND ISSUER No change. ITEM 2 IDENTITY AND BACKGROUND No change. ITEM 3 SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION The first sentence of Item 3 is amended and restated as follows: "As of the date hereof, Schroder Wertheim beneficially owns 153,000 shares of Common Stock." In all other respects, there has been no change. ITEM 4 PURPOSE OF THE TRANSACTION No change. ITEM 5 INTEREST IN SECURITIES OF THE ISSUER Schroder Wertheim may be deemed to beneficially own 153,000 shares of the Common Stock of the Company, representing approximately 4.7% of the outstanding shares. A portion of such shares are held in the accounts of various customers of Schroder Wertheim, with respect to which accounts the Reporting Person has shared investment and sole voting discretion. For information with respect to the power to vote or direct the vote and the power to dispose or direct the disposition of the Common Stock deemed to be beneficially owned by schroder Wertheim, see Rows 7-10 of the cover page. Schroder Wertheim disclaims that it is the beneficial owner of any of the shares held in its customers' accounts, except to the extent Schroder Wertheim has a pecuniary beneficial interest in the investment partnerships for which it serves as general partner and investment adviser. To the best knowledge of Schroder Wertheim, each of the persons maintaining an account with Schroder Wertheim has the right to receive or the power to direct the receipt of dividends and/or interests from, or the proceeds from the sale of, the shares of Common Stock held in such person's account. Attached hereto as Annex B is a chart which includes all transactions undertaken during the period June 27, 1996 through August 14, 1996, in which Schroder Wertheim purchased and sold for its own accounts and accounts of its customers shares of Common Stock. All such transactions were made in the open market. Page 3 of 6 Pages
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ITEM 6 CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER No change. ITEM 7 MATERIAL TO BE FILED AS EXHIBITS No change. Page 4 of 6 Pages
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SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned hereby certifies that the information set forth on this statement is true, complete and correct. SCHRODER WERTHEIM & CO. INCORPORATED By:/s/ Peter M. Schoenfeld Peter M. Schoenfeld Vice Chairman and Vice President Dated: August 16, 1996 Page 5 of 6 Pages
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ANNEX B Transactions for the Period June 27, 1996 through August 14, 1996 TRADE DATE QUANTITY PRICE PER SHARE Buy 8/01/96 5,000 $30.228 Sell 8/07/96 25,000 31.680 Sell 8/08/96 33,100 32.275 Sell 8/09/96 20,000 32.219 Sell 8/12/96 1,200 32.354 Sell 8/13/96 12,800 31.731 Sell 8/14/96 13,900 31.375 Page 6 of 6 Pages

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘SC 13D/A’ Filing    Date First  Last      Other Filings
Filed on:8/16/965
8/14/9636
8/8/961
7/16/963SC 13D
6/27/963610-K
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Filing Submission 0000908645-96-000112   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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