-----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, HEVMhfZwOc91BB0S9oalY3lorG8mvQ/aeC4/XHPAKTyLtDgQIflY9uyvpjeLVqgq eploTC3QdaDQc51qP7VxPQ== 0000906344-99-000004.txt : 19990210 0000906344-99-000004.hdr.sgml : 19990210 ACCESSION NUMBER: 0000906344-99-000004 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990209 GROUP MEMBERS: BERGSTROM ERIK E GROUP MEMBERS: EDITH H. BERGSTROM GROUP MEMBERS: EDITH H. BERGSTROM LIVING TRUST U/A DATED 12/6/74 GROUP MEMBERS: ERIK E. AND EDITH H. BERGSTROM FOUNDATION, INC. GROUP MEMBERS: ERIK E. BERGSTROM LIVING TRUST U/A DATED 12/6/74 GROUP MEMBERS: FEDERAL UNITED CORPORATION GROUP MEMBERS: SHARON'S TRUST SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADAMS EXPRESS CO CENTRAL INDEX KEY: 0000002230 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 134912740 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-51101 FILM NUMBER: 99526265 BUSINESS ADDRESS: STREET 1: SEVEN ST PAUL ST STE 1140 CITY: BALTIMORE STATE: MD ZIP: 21202 BUSINESS PHONE: 4107525900 MAIL ADDRESS: STREET 1: 7 ST PAUL STREET SUITE 1140 CITY: BALTIMORE STATE: MD ZIP: 21202 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERGSTROM ERIK E CENTRAL INDEX KEY: 0000949041 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: P O BOX 126 CITY: PALO ALTO STATE: CA ZIP: 94302 BUSINESS PHONE: 4153230596 MAIL ADDRESS: STREET 1: P O BOX 126 CITY: PALO ALTO STATE: CA ZIP: 94302 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _____) THE ADAMS EXPRESS COMPANY (Name of Issuer) Common Stock (Title of Class of Securities) 006212104 (CUSIP Number) January 26, 1999 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) *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. 006212104 SCHEDULE 13G Page 2 of 15 1 Name of Reporting Person Erik E. Bergstrom IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization USA NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 6 Shared Voting Power 2,943,406 7 Sole Dispositive Power 0 8 Shared Dispositive Power 2,943,406 9 Aggregate Amount Beneficially Owned by Each Reporting Person 2,943,406 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [x]* 11 Percent of Class Represented by Amount in Row 9 5.7% 12 Type of Reporting Person IN *See response to Item 4. CUSIP No. 006212104 SCHEDULE 13G Page 3 of 15 1 Name of Reporting Person Erik E. Bergstrom Living Trust U/A Dated 12/6/74 IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization California NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 6 Shared Voting Power 795,500 7 Sole Dispositive Power 0 8 Shared Dispositive Power 795,500 9 Aggregate Amount Beneficially Owned by Each Reporting Person 795,500 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 1.5% 12 Type of Reporting Person OO CUSIP No. 006212104 SCHEDULE 13G Page 4 of 15 1 Name of Reporting Person Edith H. Bergstrom IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization USA NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 6 Shared Voting Power 4,800 7 Sole Dispositive Power 0 8 Shared Dispositive Power 4,800 9 Aggregate Amount Beneficially Owned by Each Reporting Person 4,800 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 0.0% 12 Type of Reporting Person IN CUSIP No. 006212104 SCHEDULE 13G Page 5 of 15 1 Name of Reporting Person Edith H. Bergstrom Living Trust U/A Dated 12/6/74 IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization California NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 6 Shared Voting Power 4,800 7 Sole Dispositive Power 0 8 Shared Dispositive Power 4,800 9 Aggregate Amount Beneficially Owned by Each Reporting Person 4,800 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 0.0% 12 Type of Reporting Person OO CUSIP No. 006212104 SCHEDULE 13G Page 6 of 15 1 Name of Reporting Person Federal United Corporation IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization Delaware NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 6 Shared Voting Power 121,240 7 Sole Dispositive Power 0 8 Shared Dispositive Power 121,240 9 Aggregate Amount Beneficially Owned by Each Reporting Person 121,240 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 0.2% 12 Type of Reporting Person CO CUSIP No. 006212104 SCHEDULE 13G Page 7 of 15 1 Name of Reporting Person Erik E. and Edith H. Bergstrom Foundation, Inc. IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization California NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 6 Shared Voting Power 1,995,000 7 Sole Dispositive Power 0 8 Shared Dispositive Power 1,995,000 9 Aggregate Amount Beneficially Owned by Each Reporting Person 1,995,000 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 3.9% 12 Type of Reporting Person CO CUSIP No. 006212104 SCHEDULE 13G Page 8 of 15 1 Name of Reporting Person Sharon's Trust IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization California NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 6 Shared Voting Power 31,666 7 Sole Dispositive Power 0 8 Shared Dispositive Power 31,666 9 Aggregate Amount Beneficially Owned by Each Reporting Person 31,666 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 0.1% 12 Type of Reporting Person OO CUSIP No. 006212104 SCHEDULE 13G Page 9 of 15 Item 1(a). Name of Issuer: The Adams Express Company Item 1(b). Address of Issuer's Principal Executive Offices: Seven St. Paul Street, Suite 1140, Baltimore, Maryland 21202 Item 2(a). Names of Persons Filing: Erik E. Bergstrom Erik E. Bergstrom Living Trust U/A Dated 12/6/74 Edith H. Bergstrom Edith H. Bergstrom Living Trust U/A Dated 12/6/74 Federal United Corporation Erik E. And Edith H. Bergstrom Foundation, Inc. Sharon's Trust Item 2(b). Address of Principal Business Office or, if none, Residence: The business address of Erik E. Bergstrom, Erik E. Bergstrom Living Trust U/A Dated 12/6/74, Edith H. Bergstrom, Edith H. Bergstrom Living Trust U/A Dated 12/6/74, and Federal United Corporation is P.O. Box 126, Palo Alto, California 94302. The business address of the Erik E. and Edith H. Bergstrom Foundation, Inc. is P.O. Box 520, Palo Alto, California 94302. The business address of Sharon's Trust is 13781 Strubel's Lane, Grass Valley, California 95949. Item 2(c). Citizenship: See Item(s) 4 to cover page. Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 006212104 Item 3.If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). CUSIP No. 006212104 SCHEDULE 13G Page 10 of 15 (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) [ ] An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Section 240.13d-1(c), check this box. [x] Item 4. Ownership. The following table specifies as of January 26, 1999 the number of shares of Common Stock as to which each person named in Item 2(a) has sole or shared power to vote or direct the vote or to dispose or direct the disposition, as well as the percentages such shares constitute of the Common Stock reported to be outstanding as of December 31, 1998. CUSIP No. 006212104 SCHEDULE 13G Page 11 of 15 Sole Voting Shared and Voting and Aggregate Percentage of Dispositive Dispositive Number of Outstanding Name Power Power Shares Shares Erik E. 0 2,943,406 2,943,406 5.7% Bergstrom Erik E. 0 795,500 795,500 1.5% Bergstrom Living Trust U/A Dated 12/6/74 Edith H. 0 4,800 4,800 0.0% Bergstrom Edith H. 0 4,800 4,800 0.0% Bergstrom Living Trust U/A Dated 12/6/74 Federal 0 121,240 121,240 0.2% United Corporation Erik E. and 0 1,995,000 1,995,000 3.9% Edith H. Bergstrom Foundation, Inc. Sharon's 0 31,666 31,666 0.1% Trust _____________________ Consists of shares of Common Stock owned by the Erik E. Bergstrom Living Trust U/A Dated 12/6/74, Federal United Corporation, Erik E. and Edith H. Bergstrom Foundation, Inc. and Sharon's Trust. Does not include the shares owned by Edith H. Bergstrom and the Edith H. Bergstrom Living Trust U/A Dated 12/6/74. Pursuant to Rule 13d-4, Erik E. Bergstrom hereby disclaims beneficial ownership of all shares owned by Edith H. Bergstrom, the Edith H. Bergstrom Living Trust U/A Dated 12/6/74, Erik E. and Edith H. Bergstrom Foundation, Inc. and Sharon's Trust. Consists of 4,800 shares of Common Stock owned by the Edith H. Bergstrom Living Trust U/A Dated 12/6/74. The reporting persons may be deemed to be members of a "group" within the meaning of Section 13(d)(3) of the Act and the rules and regulations thereunder. Membership in such a group is hereby disclaimed. CUSIP No. 006212104 SCHEDULE 13G Page 12 of 15 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. Not applicable. CUSIP No. 006212104 SCHEDULE 13G Page 13 of 15 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 Classification of Members of the Group. See Exhibit 1. Item 9.Notice of Dissolution of Group. Not applicable. CUSIP No. 006212104 SCHEDULE 13G Page 14 of 15 Item 10. Certifications. By signing below, each of the signatories certifies that, to the best of its 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. ____________________________ Edith H. Bergstrom Living /s/ Erik E. Bergstrom Trust U/A Dated 12/6/74 Erik E. Bergstrom ____________________________ By: /s/ Edith H. Bergstrom /s/ Edith H. Bergstrom ________________________ Edith H. Bergstrom Name: Edith H. Bergstrom Title: Trustee Erik E. and Edith H. Bergstrom Federal United Corporation Foundation, Inc. By: /s/ Erik E. Bergstrom By: /s/ Erik E. Bergstrom _______________________ ________________________ Name: Erik E. Bergstrom Name: Erik E. Bergstrom Title: President Title: President Erik E. Bergstrom Living Trust Sharon's Trust U/A Dated 12/6/74 By: /s/ Erik E. Bergstrom By: /s/ Erik E. Bergstrom _______________________ ________________________ Name: Erik E. Bergstrom Name: Erik E. Bergstrom Title: Trustee Title: Trustee Dated: February 5, 1999 CUSIP No. 006212104 SCHEDULE 13G Page 15 of 15 Exhibit 1 - Identity of Group Members Erik E. Bergstrom Erik E. Bergstrom Living Trust U/A Dated 12/6/74 Edith H. Bergstrom Edith H. Bergstrom Living Trust U/A Dated 12/6/74 Federal United Corporation Erik E. And Edith H. Bergstrom Foundation, Inc. Sharon's Trust -----END PRIVACY-ENHANCED MESSAGE-----