-----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, AMFL+oF8Kr2ezghMtaXdK7TF+pI4x8WdaFaH0H3cvw3KBR2fxslFEgj/UHmdygYv b3zAT2LaKcpLtXQoe9XgBw== 0001047469-99-003950.txt : 19990210 0001047469-99-003950.hdr.sgml : 19990210 ACCESSION NUMBER: 0001047469-99-003950 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990209 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GRIFFON CORP CENTRAL INDEX KEY: 0000050725 STANDARD INDUSTRIAL CLASSIFICATION: METAL DOORS, SASH, FRAMES, MOLDING & TRIM [3442] IRS NUMBER: 111893410 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-33308 FILM NUMBER: 99525228 BUSINESS ADDRESS: STREET 1: 100 JERICHO QUADRANGLE CITY: JERICHO STATE: NY ZIP: 11753 BUSINESS PHONE: 5169385544 MAIL ADDRESS: STREET 1: 100 JERICHO QUADRANGLE CITY: JERICHO STATE: NY ZIP: 11753 FORMER COMPANY: FORMER CONFORMED NAME: INSTRUMENT SYSTEMS CORP /DE/ DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: US TRUST CO OF CALIFORNIA NA CENTRAL INDEX KEY: 0000898225 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 954311476 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 515 FLOWER ST STE 2800 CITY: LOS ANGELES STATE: CA ZIP: 90071-2291 BUSINESS PHONE: 2138615020 MAIL ADDRESS: STREET 1: 515 FLOWER STREET STREET 2: SUITE 2800 CITY: LOS ANGELES STATE: CA ZIP: 90071-2291 SC 13G/A 1 SCHED 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* ------ GRIFFON CORP. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 398433102 ---------------------------------- (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 134-7.) *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 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). (Continued on following page(s)) Page 1 or 4 pages CUSIP No. 398433102 13G Page 2 of 4 Pages --------- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). U.S. Trust Co., National Association #95-4311476 Trustee for Griffon Corp. Employee Stock Ownership Trust - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization 515 S. Flower St. #2800 Los Angeles, CA 90071 - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 151,061 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 2,363,164 -------------------------------------------------- (7) Sole Dispositive Power -------------------------------------------------- (8) Shared Dispositive Power 2,514,225 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,514,225 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 8.3% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) E.P. - ------------------------------------------------------------------------------- CUSIP No. 398433102 13G Page 3 of 4 Pages --------- ITEM 1. (a) Name of Issuer Griffon Corp. --------------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices 100 Jericho Quadrangle #224 Jericho, NY 11753 --------------------------------------------------------------------- ITEM 2. (a) Name of Person Filing U.S. Trust Co., National Association --------------------------------------------------------------------- (b) Address of Principal Business Office or, if none, Residence 515 S. Flower St. #2800 Los Angeles, CA 90071 --------------------------------------------------------------------- (c) Citizenship California USA --------------------------------------------------------------------- (d) Title of Class of Securities Common Stock --------------------------------------------------------------------- (e) CUSIP Number 398433102 --------------------------------------------------------------------- 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. (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 Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) /X/ Employee Benefit Plan or Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; See Rule 13d-1(D)(I)(ii)(F) (g) / / Parent Holding Company, in accordance with Rule 13d-1(b)(1)(ii)(G). (Note: See Item 7) (h) / / Group in accordance with Rule 13d-1(b)(1)(ii)(H) CUSIP No. 398433102 13G Page 4 of 4 Pages --------- ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 2,514,225 --------------------------------------------------------------------------- (b) Percent of class: 8.3% --------------------------------------------------------------------------- (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 151,061 ----------------------------------------------------------------- (ii) Shared power to vote or to direct the vote 2,363,164 ----------------------------------------------------------------- (iii) Sole power to dispose or to direct the disposition of ----------------------------------------------------------------- (iv) Shared power to dispose or to direct the disposition of 2,514,225 ----------------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. / / ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON 8.3% - ------------------------------------------------------------------------------- ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY - ------------------------------------------------------------------------------- ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP - ------------------------------------------------------------------------------- ITEM 9. NOTICE OF DISSOLUTION OF GROUP ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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. 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. 2/1/99 ---------------------------------------- Date /s/ Terry J. Colberg ---------------------------------------- Signature Terry J. Colberg, Vice President ---------------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----