-----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, Jm2nA3hBparqrxUBHv1rfqSdxG8enH2VwzK+kjFSbw1MpeI4tok5C2B0+236JMqx 63HyDR6gnmGH4Z3gX8mrrw== 0000927016-02-000105.txt : 20020413 0000927016-02-000105.hdr.sgml : 20020413 ACCESSION NUMBER: 0000927016-02-000105 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020104 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DOW JONES & CO INC CENTRAL INDEX KEY: 0000029924 STANDARD INDUSTRIAL CLASSIFICATION: NEWSPAPERS: PUBLISHING OR PUBLISHING & PRINTING [2711] IRS NUMBER: 135034940 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-11580 FILM NUMBER: 2502061 BUSINESS ADDRESS: STREET 1: 200 LIBERTY ST CITY: NEW YORK STATE: NY ZIP: 10281 BUSINESS PHONE: 2124162000 MAIL ADDRESS: STREET 1: 200 LIBERTY ST CITY: NEW YORK STATE: NY ZIP: 10281 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HAMMER ROY A CENTRAL INDEX KEY: 0001008638 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O HEMENWAY & BARNES STREET 2: 60 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6172277940 MAIL ADDRESS: STREET 1: C/O HEMENWAY & BARNES STREET 2: 60 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 SC 13D/A 1 dsc13da.txt SCHEDULE 14D/AMENDMENT #9 FOR ROY A. HAMMER PAGE 1 of 9 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9)* Dow Jones & Company, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 260561105 - -------------------------------------------------------------------------------- (CUSIP Number) Frederic J. Marx, Hemenway & Barnes, 60 State Street, Boston, MA 02109; 617-227-7940 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 14, 2001 - -------------------------------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. |_| Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss.240.13d-7 for other parties to whom copies are to be sent. * 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 disclosures provided in a prior cover page. The information required on 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. 260561105 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Roy A. Hammer - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) PF as to 300 shares; not applicable as to remaining shares; ownership acquired by appointment as trustee of trusts. - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization .USA - -------------------------------------------------------------------------------- 7. Sole Voting Power 300 Number of ------------------------------------------------------------------ Shares Beneficially 8. Shared Voting Power 10,484,024 shares Common Stock Owned by 9,992,291 shares Class B Common Stock (convertible into Common Each Stock) Reporting Person ------------------------------------------------------------------ With 9. Sole Dispositive Power 300 ------------------------------------------------------------------ Shared Dispositive Power 10,484,024 shares Common Stock 10. 9,992,291 shares Class B Common Stock (convertible into Common Stock) - -------------------------------------------------------------------------------- -2- 11. Aggregate Amount Beneficially Owned by Each Reporting Person See item 8 above - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 27.02% - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) OO - Co-trustee - -------------------------------------------------------------------------------- -3- SCHEDULE 13D Item 1. Security and Issuer. Common Stock, Dow Jones & Company, Inc., World Financial Center, 200 Liberty Street, New York, New York 10007 Item 2. Identity and Background. a. Roy A. Hammer, Esq. b. c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109 c. Attorney and professional fiduciary at Hemenway & Barnes, 60 State Street, Boston, Massachusetts 02109-1899 d. No such conviction e. Not a party to any such proceeding f. United States Item 3. Source of and Amount of Funds or Other consideration. 300 shares were purchased with the undersigned's personal funds. The remaining securities were not purchased. The undersigned acquired the shares in his capacity as co-trustee upon being appointed a co-trustee for trusts holding the shares. Item 4. Purpose of Transaction. The undersigned was appointed to fill vacancies in trusteeships with no objective other than to carry out the terms of the respective trusts. There are no plans or proposals as described in (a)-(j) of the instructions to Item 4. Securities of the issuer may from time to time be acquired or disposed of in the ordinary course of carrying out the terms of the several trusts. Item 5. Interest in Securities of the Issuer. a. See items 11 and 13 of the cover page. b. (1) The undersigned shares the voting and dispositive power as a co-trustee over 10,484,324 shares of the issuer's stock with the following persons: (A) With Lawrence T. Perera and Christopher Bancroft over 2,245,000 shares of stock; (B) With Jane C. MacElree and Michael B. Elefante over 2,243,093 shares of stock; (C) With Ann C. Bartram and Steven Bartram over 37,431 shares of stock; -4- (D) With Bayne Stevenson, Elizabeth Steele and Rhoderick B. MacLeod over 2,674,472 shares of stock; (E) With Heidi Cox over 74,286 shares of stock; (F) With Deborah J. Hall and Martha W. Cox over 12,500 shares of stock; (G) With Deborah J. Hall and William C. Cox, Jr. over 7,423 shares of stock; (H) With Martha C. Farrell and Thomas V. Farrell, Jr. over 53,000 shares of stock; (I) With Deborah J. Hall over 300 shares of stock; (J) With George T. Shaw over 25,683 shares of stock; (K) With Edward H. Raymond over 2,500 shares of stock; (L) With State Street Bank and Trust Company and Michael B. Elefante over 33,212 shares of stock; (M) With State Street Bank and Trust Company, Jane C. MacElree, and Michael B. Elefante over 2,385,000 shares of stock; and (N) With State Street Bank and Trust Company over 690,424 shares of stock. (2) (A) (i) Ann C. Bartram; (ii) c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109; (iii) housewife; (iv) no such conviction; (v) not a party to any such proceedings; and (vi) United States. (B) (i) Steven Bartram; (ii) c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109; (iii) staff member of urban environmental organization; (iv) no such conviction; (v) not a party to any such proceedings; and (vi) United States. -5- (C) (i) Elizabeth Steele; (ii) c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109; (iii) real estate developer; (iv) no such conviction; (v) not a party to any such proceeding; and (vi) United States. (D) (i) Rhoderick B. MacLeod; (ii) MacLeod & McGinnis, P.A., 1800 Second Street, Suite 750, Sarasota, FL 34236; (iii) attorney; (iv) no such conviction; (v) not a party to any such proceeding; and (vi) United States. (E) (i) William C. Cox, Jr.; (ii) c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109; (iii) retired; (iv) no such conviction; (v) not a party to any such proceeding; and (vi) United States. (F) (i) Martha W. Cox; (ii) c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109; (iii) none; (iv) no such conviction; (v) not a party to any such proceeding; and (vi) United States. (G) (i) Edward H. Raymond; (ii) c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109; (iii) stockbroker; (iv) no such conviction; (v) not a party to any such proceeding; and (vi) United States. -6- (H) (i) Heidi Cox; (ii) c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109; (iii) volunteer worker; (iv) no such conviction; (v) not a party to any such proceeding; and (vi) United States. (I) (i) Martha C. Farrell; (ii) c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109; (iii) housewife; (iv) no such conviction; (v) not a party to any such proceeding; and (vi) United States. (J) (i) Thomas V. Farrell, Jr.; (ii) c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109; (iii) model; (iv) no such connection; (v) not a party to any such proceeding; and (vi) United States. (K) (i) Bayne Stevenson; (ii) c/o Bayson Company, P.O. Box 929, 37 South Main Street, Hanover, NH 03755; (iii) real estate developer, Bayson Company, P.O. Box 929, 37 South Main Street, Hanover, NH 03755; (iv) no such conviction; (v) not a party to any such proceeding; and (vi) United States. -7- (L) (i) State Street Bank and Trust Company; (ii) 225 Franklin Street, Boston, MA 02109; (iii) Principal business is banking and trust management; (iv) no such conviction; (v) not a party to any such proceeding; and (vi) Organized under the laws of the Commonwealth of Massachusetts. (M) (i) Jane C. MacElree; (ii) c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109; (iii) none; (iv) no such conviction; (v) not a party to any such proceeding; and (vi) United States. (N) (i) Christopher Bancroft; (ii) c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109; (iii) director, Dow Jones & Company, Inc.; (iv) no such conviction; (v) not a party to any such proceeding; and (vi) United States. (O) (i) Lawrence T. Perera, Esq., Kurt F. Somerville, Esq., Michael J. Puzo, Esq., Deborah J. Hall, Esq., George T. Shaw, Esq. and Michael B. Elefante, Esq.; (ii) Hemenway & Barnes, 60 State Street, Boston, MA 02109-1899; (iii) attorney and professional fiduciary; (iv) no such conviction; (v) not a party to any such proceeding; and (vi) United States. -8- c. None. d. The governing instruments of the several trusts direct the trustees as to the payment of income and/or principal to and among certain designated beneficiaries. No beneficiary has a right to receive dividends from or proceeds from the sale of securities except as provided in the applicable governing instrument. e. Not applicable. Item 6. Contracts, Arrangements, etc. There are no such contracts, arrangements, understandings or relationships, except for the legal responsibilities of the undersigned and his co-trustees to act together in carrying out the terms of the applicable governing instruments. Item 7. Materials to be Filed as Exhibits. There are no relevant materials to be filed herewith. 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. /s/ Roy A. Hammer ----------------------- Roy A. Hammer Dated: January 4, 2002 -9- -----END PRIVACY-ENHANCED MESSAGE-----