-----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, E0xGmPD4p2ZfR9lXY3VjeUPuXNAwUfTXkM2HtLvs/lSlLaCmCBAQ31lgvcWSX20n HXBkoYcdAk1k4n2mhs+E8w== 0000950115-99-000193.txt : 19990217 0000950115-99-000193.hdr.sgml : 19990217 ACCESSION NUMBER: 0000950115-99-000193 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: D&E COMMUNICATIONS INC CENTRAL INDEX KEY: 0001011737 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 232837108 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-50547 FILM NUMBER: 99541027 BUSINESS ADDRESS: STREET 1: BROSSMAN BUSINESS COMPLEX STREET 2: 124 EAST MAIN ST CITY: EPHRATA STATE: PA ZIP: 17522 BUSINESS PHONE: 7177334101 MAIL ADDRESS: STREET 1: BROSSMAN BUSINESS COMPLEX STREET 2: 124 EAST MAIN STREET CITY: EPHRATA STATE: PA ZIP: 17522 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: VOTING TRUST D & E COMMUNICATIONS INC CENTRAL INDEX KEY: 0001034741 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 236769976 STATE OF INCORPORATION: PA FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: P.O. BOX 458 CITY: EPHRATA STATE: PA ZIP: 17522 BUSINESS PHONE: 7177388222 SC 13G/A 1 SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment No. 4 Under the Securities Exchange Act of 1934 D & E Communications, Inc. (Name of Issuer) COMMON STOCK, PAR VALUE $.16 PER SHARE -------------------------------------- (Title of Class of Securities) 232860106 -------------- (CUSIP Number) Check the appropriate box to designate the rule pursuant to which this Schedule is filed. [ ] Rule 13d-1(b) (Qualified Investor) [ ] Rule 13d-1(c) (Passive Investor) [ X ] Rule 13d-1(d) (Exempt Investor) * 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. 232860106 13G Page 2 of 6 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: John Amos as voting trustee of the D & E Communications, Inc. Voting Trust f/k/a Denver and Ephrata Telephone and Telegraph Company Voting Trust, pursuant to that certain Voting Trust Agreement, dated as of November 19, 1992, and amended as of December 31, 1995 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ X ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER -0- SHARES BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER 2,951,545 EACH REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER 63,150 WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 63,150 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) X - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) .9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- CUSIP No. 232860106 13G Page 3 of 6 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: The D & E Communications, Inc. Voting Trust f/k/a Denver and Ephrata Telephone and Telegraph Company Voting Trust, created pursuant to that certain Voting Trust Agreement, dated as of November 19, 1992, and amended as of December 31, 1995 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ X ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 2,951,545 SHARES BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER -0- EACH REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER -0- WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,951,545 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 39.8% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) OO - -------------------------------------------------------------------------------- CUSIP No. 232860106 13G Page 4 of 6 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Anne B. Sweigart as voting trustee of the D & E Communications, Inc. Voting Trust f/k/a Denver and Ephrata Telephone and Telegraph Company Voting Trust, pursuant to that certain Voting Trust Agreement, dated as of November 19, 1992, and amended as of December 31, 1995 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ X ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 3,097* SHARES BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER 2,951,545 EACH REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER 343,046 WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 38,777 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 345,843 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) X - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- *Each voting trustee who is also a shareholder and director of the Issuer (i.e., Ronald E. Frisbie, W. Garth Sprecher, Anne Sweigart and John Amos) has the right to retain 300 shares in their own name outside of the Voting Trust plus they retain the right to vote all shares held in their individual names in a company stock plan such as the Issuer's Employee Stock Purchase Plan, Employee Stock Ownership or Dividend Reinvestment Plan. CUSIP No. 232860106 13G Page 5 of 6 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Ronald E. Frisbie as voting trustee of the D & E Communications, Inc. Voting Trust f/k/a Denver and Ephrata Telephone and Telegraph Company Voting Trust created pursuant to that certain Voting Trust Agreement, dated as of November 19, 1992, and amended as of December 31, 1995 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ X ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 300* SHARES BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER 2,951,545 EACH REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER 49,730 WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 49,730 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) X - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) .7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- *Each voting trustee who is also a shareholder and director of the Issuer (i.e., Ronald E. Frisbie, W. Garth Sprecher, Anne Sweigart and John Amos) has the right to retain 300 shares in their own name outside of the Voting Trust plus they retain the right to vote all shares held in their individual names in a company stock plan such as the Issuer's Employee Stock Purchase Plan, Employee Stock Ownership or Dividend Reinvestment Plan. CUSIP No. 232860106 13G Page 6 of 6 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: W. Garth Sprecher as voting trustee of the D & E Communications, Inc. Voting Trust f/k/a Denver and Ephrata Telephone and Telegraph Company Voting Trust created pursuant to that certain Voting Trust Agreement, dated as of November 19, 1992, and amended as of December 31, 1995 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ X ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 1,866* SHARES BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER 2,951,545 EACH REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER 96,170 WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 98,036 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) X - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.3% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- *Each voting trustee who is also a shareholder and director of the Issuer (i.e., Ronald E. Frisbie, W. Garth Sprecher, Anne Sweigart and John Amos) has the right to retain 300 shares in their own name outside of the Voting Trust plus they retain the right to vote all shares held in their individual names in a company stock plan such as the Issuer's Employee Stock Purchase Plan, Employee Stock Ownership or Dividend Reinvestment Plan. -2- CUSIP No. 232860106 13G Page 7 of 6 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: *Kay W. Shober as voting trustee of the D & E Communications, Inc. Voting Trust f/k/a Denver and Ephrata Telephone and Telegraph Company Voting Trust, pursuant to that certain Voting Trust Agreement, dated as of November 19, 1992, and amended as of December 31, 1995 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ X ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER -0- SHARES BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER 2,951,545 EACH REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER 184,636 WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 184,636 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) X - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.5% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- *On January 21, 1999, Kay W. Shober resigned as voting trustee and was replaced by Robert M. Lauman. Item 1 (a) Name of Issuer: D & E Communications, Inc. (b) Address of Issuer's Principal Executive Offices: 124 East Main Street, P.O. Box 458, Ephrata, PA 17522-0458 Item 2 (a) Name of Person Filing: Anne B. Sweigart, Ronald E. Frisbie, W. Garth Sprecher, Kay W. Shober and John Amos, each as trustees of the Voting Trust of D & E Communications, Inc. Voting Trust f/k/a The Denver and Ephrata Telephone and Telegraph Company Voting Trust (the "Voting Trust"), created pursuant to that certain Voting Trust Agreement, dated November 19, 1992, and amended as of December 31, 1995. (b) Address of Principal Business Office: c/o Voting Trust, P.O. Box 458, Ephrata, PA 17522 (c) Citizenship: The Voting Trust was created under the laws of the Commonwealth of Pennsylvania, United States. The trustees are all citizens of the United States. (d) Title of Class of Securities: Common Stock, Par Value $.16 Per Share (e) CUSIP Number: 232860106 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: Not Applicable Item 4. Ownership. (a) Amount Beneficially Owned: 2,951,545 Shares (b) Percent of Class: 39.8% -3- (c) Number of shares as to whcih such person has: (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote: 2,951,545 shaes Certain shareholders of the issuer are party to the Voting Trust, pursuant to which the Voting Trust, through the reporting persons' trustees, has the right to exercise sole voting power on all matters submitted to the issuer's shareholders for a vote. By its terms, the Voting Trust expires November 17, 2002. Each reporting person is one of five trustees of the Voting Trust and, therefore exercises shared voting power with respect to the shares referenced above. No reporting person alone is able to direct the vote of the Voting Trust, as all action of the trustee is taken by majority vote. Each reporting person, as a trustee, disclaims beneficial ownership of the Voting Trust shares over which he or she has shared voting power, except with respect to the shares over which such reporting person has sole investment power in his or her individual capacity as shareholder. (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: -0- Item 5. Ownership of Five Percent or Less of a Class Not Applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person The Voting Trust beneficially owns 1,070,100 (14.4%) shares contributed by the Ephrata National Bank as Trustee of the William and Jemima Brossman Charitable Foundation and 381,523 (5.1%) shares contributed by Anne B. Sweigart. -4- Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company Not Applicable Item 8. Identification and Class of Members of the Group Anne B. Sweigart, Ronald E. Frisbie, W. Garth Sprecher, Kay W. Shober and John Amos are the current voting trustees. Item 9. Notice of Dissolution of Group Not Applicable Item 10. Certification Not Applicable Exhibits -5- 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. February 16, 1999 ------------------------------------------ Date /s/ Anne B. Sweigart ------------------------------------------ Signature Anne B. Sweigart/Trustee ------------------------------------------ Name/Title 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. February 16, 1999 ------------------------------------------ Date /s/ Ronald E. Frisbie ------------------------------------------ Signature Ronald E. Frisbie/Trustee ------------------------------------------ Name/Title 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. February 16, 1999 ------------------------------------------ Date /s/ W. Garth Sprecher ------------------------------------------ Signature W. Garther Sprecher/Trustee ------------------------------------------ Name/Title 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. February 16, 1999 ------------------------------------------ Date /s/ Kay W. Shober ------------------------------------------ Signature Kay W. Shober/Trustee ------------------------------------------ Name/Title 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. February 16, 1999 ------------------------------------------ Date /s/ John Amos ------------------------------------------ Signature John Amos/Trustee ------------------------------------------ Name/Title -----END PRIVACY-ENHANCED MESSAGE-----