- Statement of Changes in Beneficial Ownership (4)
2011年4月27日 - 6:25AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
TOMY CO LTD
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2. Issuer Name
and
Ticker or Trading Symbol
RC2 CORP
[
RCRC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
7-9-10 TATEISHI, KATSUSHIKA-KU,
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/22/2011
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(Street)
TOKYO, M0 124-8511
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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4/22/2011
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J
(1)
(2)
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1000
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A
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$27.90
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19358735
(1)
(2)
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I
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By Galaxy Dream Corporation
(3)
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Common Stock
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4/25/2011
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J
(1)
(2)
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90475
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A
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$27.90
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19449210
(1)
(2)
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I
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By Galaxy Dream Corporation
(3)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Pursuant to the Agreement and Plan of Merger, dated March 10, 2011 (the "Merger Agreement"), among Tomy Company, Ltd. ("Parent"), Galaxy Dream Corporation (the "Purchaser") and RC2 Corporation. (the "Company"), the Purchaser, a wholly owned indirect subsidiary of Parent, commenced a tender offer on March 24, 2011 for all of the outstanding shares of common stock of the Company (the "Shares") at a price of $27.90 per Share in cash (the "Offer"). The initial offering period for the Offer expired at 12:00 midnight New York City time, at the end of Wednesday, April 20, 2011. Purchaser is providing a subsequent offering period, which commenced Thursday, April 21, 2011 and which, as extended, expires at 5:00 p.m., New York City Time, on Wednesday, April 27, 2011.
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(
2)
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(continued from Footnote 1) The reported acquisitions were made by acceptance by Purchaser of Shares tendered pursuant to the Offer during the subsequent offering period. On April 22, 2011, 1,000 Shares were validly tendered in the subsequent offering period. On April 25, 2011, 90,475 Shares were validly tendered in the subsequent offering period.
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(
3)
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The acquired securities are owned directly by Purchaser. Purchaser is a wholly owned direct subsidiary of Tomy Corporation, a Delaware corporation, which is a wholly owned direct subsidiary of Parent.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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TOMY CO LTD
7-9-10 TATEISHI, KATSUSHIKA-KU
TOKYO, M0 124-8511
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X
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Galaxy Dream Corp
C/O TOMY COMPANY, LTD.
7-9-10 TATEISHI, KATSUSHIKA-KU
TOKYO, M0 124-8511
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X
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Signatures
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/s/ Kantaro Tomiyama By: President & CEO, on behalf of Tomy Company, Ltd.
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4/26/2011
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**
Signature of Reporting Person
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Date
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/s/ Kantaro Tomiyama By: President, on behalf of Galaxy Dream Corporation
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4/26/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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