-----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, MQWdf6xjzDG0nIDu25EqwkG/bLdW6stWdR6nn1xQU6kzE6mkZzQhWUXdRDs2e3aF w6ILtTAABNavpaZWWzxeuw== 0000914317-00-000068.txt : 20000211 0000914317-00-000068.hdr.sgml : 20000211 ACCESSION NUMBER: 0000914317-00-000068 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ESPEY MANUFACTURING & ELECTRONICS CORP CENTRAL INDEX KEY: 0000033533 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 141387171 STATE OF INCORPORATION: NY FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-19806 FILM NUMBER: 531799 BUSINESS ADDRESS: STREET 1: 233 BALLSTON AVE STREET 2: CONGRESS & BALLSTON AVENUES CITY: SARATOGA SPRINGS STATE: NY ZIP: 12866 BUSINESS PHONE: 5185844100 MAIL ADDRESS: STREET 1: 233 BALLSTON AVE CITY: SARATOGA SPRINGS STATE: NY ZIP: 12866 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ADIRONDACK TRUST CO CENTRAL INDEX KEY: 0001054257 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 140458765 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 473 BROADWAY CITY: SARATOGA SPRINGS STATE: NY ZIP: 12866 BUSINESS PHONE: 5185845844 MAIL ADDRESS: STREET 1: 473 BROADWAY CITY: SARATOGA SPRINGS STATE: NY ZIP: 12866 SC 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Espey Mfg. & Electronics Corp. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock par value $0.33 1/3 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 296650 10 4 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ } (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7) *The remainder of this cover page shall be filled out for a reporting person's initial fililng 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 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). Page 1 of 6 Pages - -------------------------------------------------------------------------------- CUSIP No. 296650 10 4 13G Page 2 of 6 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON Espey Mfg. & Electronics Corp. Employee Retirement Plan & Trust The Adirondack Trust Company, Successor Trustee 22-2978593 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] N/A - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION - -------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 266,185 ------------------------------------------------ 6 SHARED VOTING POWER ------------------------------------------------ 7 SOLE DISPOSITIVE POWER 266,185 ------------------------------------------------ 8 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 266,185 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] N/A - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.384 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* EP - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CUSIP No. 296650 10 4 13G Page 3 of 6 Pages - -------------------------------------------------------------------------------- Item 1. (a) Name of Issuer Espey Mfg. & Electronics Corp. (b) Address of Issuer's Principal Executive Offices P.O. Box 422, Saratoga Springs, NY 12866 Item 2. (a) Name of Person Filing Espey Mfg. & Electronics Corp. Employee Retirement Plan & Trust (b) Address of Principal Business Offices or, if none, Residence c/o The Adirondack Trust Company Successor 473 Broadway, Saratoga Springs, NY 12866 (c) Citizenship U.S. (d) Title of Class of Securities Common Stock Par Value $0.33 1/3 (e) CUSIP Number 296650 10 4 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a (a) [ ] Broker or Dealer registered under Section 15 otf the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act. (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e) [ ] Investment Advisor registered under section 203 of the Investment Advisors Act of 1940 (f) [ X ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see ss240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with ss240.13d1(b)(ii)(G) (Note: See Item 7) (h) [ ] Group, in accordance with ss240.13d-1(b)(1)(ii)(H) Item 4. Ownership If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount Beneficially Owned 266,185 (b) Percent of Class 25.384 - -------------------------------------------------------------------------------- CUSIP No. 296650 10 4 13G Page 4 of 6 Pages - -------------------------------------------------------------------------------- (c) Number of shares as to which such person has: 266,185 (i) sole power to vote or to direct the vote (ii) shared power to vote or to direct the vote (iii) sole power to dispose or to direct the disposition of 266,185 (iv) shared power to dispose or to direct the disposition of Instruction: For computations regarding securities which represent a right to acquire an underlying security see Rule 13d-3(d)(1). Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed pursuant to report the fact that as of the date hereof of the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following box [ ]. Instruction: Dissolution of a group requires a response to this item. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item, and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required. Under certain circumstances, beneficiaries of the retirement plan have the right to receive or the power to direct the receipt of dividends or the proceeds from the sale of the securities. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c), attach an exhibit stating the identification of the relevant subsidiary. N/A Item 8. Identification and Classification of Members of the Group If a group has filed this schedule pursuant to Rule 13d-1(b)(ii)(H), so indicate under Item 3(h) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to Rule 13d-1(c), attach an exhibit stating the identity of each member of the group. N/A - -------------------------------------------------------------------------------- CUSIP No. 296650 10 4 13G Page 5 of 6 Pages - -------------------------------------------------------------------------------- Item 9. Notice of Dissolution of Group Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5. N/A Item 10. Certification The following certification shall be included if the statement is filed pursuant to Rule 13d-1(b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. - -------------------------------------------------------------------------------- CUSIP No. 296650 10 4 13G Page 6 of 6 Pages - -------------------------------------------------------------------------------- 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 7, 2000 /s/ Clark S. Curtis, Jr. ------------------------ Clark S. Curtis, Jr. Senior Vice-President and Trust Officer The Adirondack Trust Company Successor Trustee, Espey Mfg. & Electronics Corp. Employee Retirement Plan and Trust -----END PRIVACY-ENHANCED MESSAGE-----