Registration record, Securities Act of 1933

MISSING IMAGE

Material Information

Title:
Registration record, Securities Act of 1933
Portion of title:
Registration record, Securities Act of 1933 (Trust Indenture Act of 1939)
Physical Description:
v. : ; 28 cm.
Language:
English
Creator:
United States -- Securities and Exchange Commission
United States
Publisher:
Securities and Exchange Commission
Place of Publication:
Washington, D.C
Creation Date:
December 1940

Subjects

Subjects / Keywords:
Securities -- Periodicals -- United States   ( lcsh )
Genre:
federal government publication   ( marcgt )
periodical   ( marcgt )

Notes

Dates or Sequential Designation:
Ceased with: June 27, 1952.
General Note:
Issues for <June 25, 1952-> have title: Registration record, Securities Act of 1933 (Trust Indenture Act of 1939).
General Note:
Description based on: May 8, 1937; title from cover.

Record Information

Source Institution:
University of Florida
Rights Management:
All applicable rights reserved by the source institution and holding location.
Resource Identifier:
oclc - 04212410
lccn - sn 87020117
sobekcm - AA00000590_00090
Classification:
lcc - HG4909 .A47
System ID:
AA00000590:00195

Full Text
SE1,/3 41 '


INDEX

FILE NO. ISSUER NAME
2-
29 AMERICAN TRUSTEE SHARE CORP

1018 AMERICAN TRUSTEE SHARE CORP

3559 AMERICAN TRUSTEE SHARE CORP
4572 BARIUM STAINLESS STEEL CORP
4790 BEACON ASSOCIATES INC
4805 FEDERATED DEPARTMENT STORES INC

4726 HIGGINS INDUSTRIES INC

4819 SAVINGS & PROFIT SHARING PENSION FUND
OF SEARS ROEBUCK AND CO EMPLOYES AND
SEARS ROEBUCK AND CO

4813 STANDARD OIL COMPANY OF CALIFORNIA
4818 UNITED WHOLESALE DRUGGISTS OF
PITTSBURGH INC

4811 WHITWORTH APARTMENT INC


SECURITIES AND EXCHANGE COMMISSION
FOR Washington
IMMEDIATE AUGUST 22, 1941
RELE SE REGISTRATION RECORD SECURITIES ACT OF 1933
(Trust Indenture Act of 1939)


INSTRUCTIONS A HANDBOOK on registration procedure Illustrating the method used in reporting regis-
tration events, and containing digests of the principal registration forms, may be obtained on request.

ABBREVIATIONS Following are some of the more frequently used abbreviations:
AMEND amendment FS financial statements
CONS consent PR prospectus
EX exhibits RS registration statement
FACE facing sheets
PHOTOCOPIES The number of pages In each document filed with the Commission is reported to facilitate
the placing of orders for photocopies. The Commission supplies photocopies of any document, or any
part of any document, on public file. Prices are 10i per page for the first 100 pages in any single
order, and 70 per page for each page over 100 pages. In ordering, give file number and issuer name of
registration statement.

IMPORTANT The Securities and Exchange Commission does not pass on the merits of or guarantee any
securities registered with it.




I ISSUER NANE P- "'US
FILE CITY A N STATE PRINCIPAL OFFICER TITLE OPA R FILED
I I N UST7 R Y UNITS REGISTERED AGGREGATE AMOUNT
S0. SEC R I E CO DP UT IO 000 000 000 RG ..I
S, ,I P U R SIOF PROPO SED cASH T I R,8
I I UN W I E ( T R SATE ,OFFERING STAl,- iis
SCTON oo oo O I TT N Nf D,

I REGISTRATION STATEMENTS FILED


17 500


4819


SAVINGS & PROFIT SHARING PENSION FUND
OF SEARS ROEBUCK AND CO EMPLOYES AND
SEARS ROEBUCK AND CO A2
CHICAGO ILL ROBERT E WOOD CHAIRMAN
CHICAGO ILL THOMAS J CARNEY PRESS
OPERATING FUND FOR SEARS EMPLOYEES
MAIL ORDER & RETAIL MERCHANDISING
MEMBERSHIPS IN THE SAVINGS & PROFIT
SHARING PENSION FUND OF SEARS
ROEBUCK AND CO EMPLOYES MAX
MAX OF 17500 EMPLS OF SEARS
TO PAY FOR ABOVE MEMBERSHIPS
BY CONTRIBUTING 5PC OF SALARY
OR SVC ALLOWANCE FOR 12 MONTHS
PERIOD FOLLOWING EFF DATE OF
RS BUT 250 00 IS MAX ANY ONE
MEMBER MAY CONTRIBUTE FOR YEAR
AGGREGATE CONTRIBUTIONS FOR
SUCH PERIOD BY ALL
MEMBERS OF FUND ESTIMATED
NOT TO EXCEED
CAPITAL NPV OF SEARS ROEBUCK AND CO
TO BE PURCHASED AT NOT MORE
THAN MKT BY THE FUND FOR ITS
MEMBERS DURING 12 MONTHS PERIOD
FOLLOWING EFF DATE OF RS MAX
ABOVE CAP STK ALL OUTSTANDING
FOR PURCHASE OF CAP STK OF SEARS
FOR ACCT OF SELLING STOCKHOLDERS
NO UNDERWRITER

REGISTRATION STATEMENT ORIG FILED -


UNITED WHOLESALE DRUGGISTS OF
PITTSBURGH INC Al
PITTSBURGH PA G P SARGENT PRESS
WHOLESALING DRUG STORE MERCHANDISE
COMMON NPV
ONLY TO RETAIL DRUGGISTS
PER ITEM 53 AT 50 00
FOR EQUIPMENT & WORKING CAPITAL
NO UNDERWRITER

REGISTRATION STATEMENT ORIG FILED

AMENDMENTS


4 000


8 22

FILED


3 750 000


200 000


13












27


4811 WH I WORTH APARTMENT INC El
SEATTLE WASH M J LAURIOSEN PRES
REGISTRATION STATEMENT ORIG FILED
IN SAN FRANCISCO -
AMENDMENT FILED IN SAN FRANCISCO -
NEW El FS PR EX F I IA J AND N

3 REGISTRATION STATEMENTS


4790


BEACON ASSOCIATES INC Al
PROVIDENCE RI KENNETH H EARLE PRESS
SMALL LOANS HOLDING CO
REGISTRATION STATEMENT ORIG FILED -
LAST PREVIOUSLY RECORDED ITEM
AMENDMENT FILED

R S EFFECTIVE 3 00 PM E S TIME ON -
AS OF 4 45 PM E S TIME -
6 1-2 PC 30YR PART SF
DEBS SERIES A 1971 AT 100
FOR ADVANCES TO SUBSIDS OR PAYMENT
OF DEBT INCURRED TO PROVIDE FUNDS
FOR ADVANCES TO SUBSIDIARIES
F L PUTNAM & COMPANY INC


8 8 41 20 8 133

8 22 41 34 10 73


FULLY EFFECTIVE




6 27 41 49 29 54


500 000


500 000


160 000




8 22 41


4618




I SSU ER N AME FORM 0 AUGUST 22. 1941
FILE CIT D ASD STATE PRlNCIPAL OFFICER TITLE PAGES FILED
I NDUSTR UNITS REGISTERED AGGREGATE AMOUNT
N PE C UR DE C OF PROPOSED CASH RUI L
I P E L U NDER RIT0 0 O 0 OFFERING ST ESPT E


3 REGISTRATION STATEMENTS FULLY EFFECTIVE Continued

4805 FEDERATED DEPARTMENT STORES INC A2
NEW YORK NY EDWARD C BLUM PRES
HOLDING CO SUBSIDS ARE DEPT STORES
REGISTRATION STATEMENT ORIG FILED 7 30 41 25 127 299
AMENDMENT FILED 8 15 41 75 127 47

R S EFFECTIVE 3 00 PM E S TIME ON 8 22 41
AS OF 4 45 PM E S TIME 8 18 41

WTS FOR COMMON NPV
TO BE ISSUED IN EXCHANGE FOR
25000 OUTSTANDING WARRANTS 25 000
TO BE ISSUED AS OF MAY 1 1941 25 000
TO BE ISSUED AS OF MAY 1 1942 25 000
ABOVE WTS ISSUED OR TO BE
ISSUED TO CERTAIN EXECUTVS
OF SUBSIDS FOR SERVICES
RENDERED TO SUBSIDIARIES
COMMON NPV
RES FOR WARRANTS
WTS TO BE ISSUED IN EXCHANGE
AT 18.7125 25 000 467 813
WTS TO BE ISSUED AS OF
MAY 1 1941 AT 19.1375 25 000 478 437
WTS WHICH MAY BE ISSUED AS OF
MAY 1 1942 AT 21 00 EST 25 000 525 000
TO BE ISSUED FOR STK OF SUBSIOS
IN EXCH FOR 156815 SHS OF COM
NPV OF WM FILENES SONS CO
ON BASIS OF 1 SH REGISTRANT
FOR 2 1-2 SHARES FILENES 62 726
IN EXCH FOR 17313 SHS OF COM
NPV OF ABRAHAM & STRAUS INC
ON BASIS OF 1 SH REGISTRANT
FOR 1-2 SH ABRAHAM & STRAUS 34 626
IN EXCH FOR 49572 SHS OF COM
NPV OF BLOOMINGDALE BROS
INC ON BASIS OF 1 SHARE
REGISTRANT FOR 1.66 2-3RDS
SHARE BLOOMINGDALE 29 744
IN EXCH SH FOR SH FOR COM
NPV OF F ANO R LAZARUS AND
COMPANY 4 534
ABOVE WTS MAY BE EXCHANGE
FOR COM NPV AT NO EXTRA
COST ON BASIS 1 WT FOR
1-10TH SHARE COMMON NPV
REGISTRANT PROPOSES
TO ALSO REGISTER AN
INDEFINITE NO OF SHS
COM NPV WHICH MAY BE
REQUIRED TO COMPLY
WITH PLAN FOR ISSUING
WTS FOR PURCHASE OF
OR CONV INTO COM NPV
TO CERTAIN EXECUTIVES
OF SUBSIDIARIES
BEARER SCRIP CERTIFICATES
REPRESENTING FRACTL INTERESTS
IN SHS OF REGISTRANT COM NPV
TO BE ISSUED IN ABOVE EXCHANGES 10 000
REGISTRANT PROPOSES TO ALSO
REGISTER AN INDEFINITE NO OF
CTFS WHICH MAY BE ISSUABLE
IN CONNECTION WITH ABOVE
PROPOSED EXCHANGES
FOR WORKING CAPITAL
NO UNDERWRITER

8 ANNUAL REPORTS FILED (MD FORMS)

29 AMERICAN TRUSTEE SHARE CORP Al
ANNUAL REPORT FILED JUL 29 AMENDED 8 22 41 6

1018 AMERICAN TRUSTEE SHARE CORP C1
ANNUAL REPORT FILED WITH RS 2-29
JUL 29 1941 AMENDED 8 22 41 6


3559 AMERICAN TRUSTEE SHARE CORP C1
ANNUAL REPORT FILED WITH RS 2-29
JUL 29 1941 AMENDED 8 22 41 6

9 SUPPLEMENTAL DATA (NOT FILED AS PART OF REG. STATEMENT)

4572 BARIUM STAINLESS STEEL CORP A2
CANTON OHIO FRANK HUSTON PRES
LAST PREVIOUSLY RECORDED ITEM
SUPPLEMENTAL PROSPECTUS MATL FILED 8 16 41 29

SUPPLEMENTAL PROSPECTUS MATL FILED 8 22 41 29




SAUGUST 22. 1941
ISSUER NAME FORM
FY AN L S TAT PR I C IPAL OFFICE I TISTEL E A PAE FILED
FILE I USTR YI ,UIITS I TE EAT AOUT
0O. SECU U T DEIC UT O 000 000 000 PR D C
2-P 1 EOF U0POED CAPSE P106 I
OFFE R G ST I I ATE OFFEIE S
CPo So 0F PAT2 T oNIU 00 00 00 FFE
UNIVERSITY OF FLORIDA
9 SUPPLEMENTAL DATA (NOT FILED AS PART OF REG. STATEMENT || lll|||||||||||||||

47P6 HIGGINS INDUSTRIES INC A2 3 1262087408331
NEW ORLEANS LA A J HIGGINS PRESS
LAST PREVIOUSLY RECORDED ITEM
PRICE REPORT PER RULE 970 FILED 6 3 41 1
SUPPLEMENTAL PROSPECTUS MATL FILED 8 22 41 27


4H13 STANDARD OIL COMPANY OF CALIFORNIA A2
SAN FRANCISCO CALIF H D COLLIER PRESS
R 3 EFFECTIVE 4 45 PM E S TIME ON 8 20 41
PROSPECTUS PER RULE BOOB
FILED IN SAN FRANCISCO 8 22 41 106