-----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, BXpySZzqc6QWJjpgrvmzpY4FxnizveNXvUzOD1fja2pIbFzeeMzDWpdPqxT9H9JE LMUTPchrNGKpOn7rxHARBg== 0000950131-98-001041.txt : 19980218 0000950131-98-001041.hdr.sgml : 19980218 ACCESSION NUMBER: 0000950131-98-001041 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 19980213 SROS: NONE GROUP MEMBERS: BANK OF NEW YORK CO INC GROUP MEMBERS: RUSSELL G. MAWBY GROUP MEMBERS: WILLIAM C. RICHARDSON GROUP MEMBERS: WILLIAM E. LAMOTHE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KELLOGG CO CENTRAL INDEX KEY: 0000055067 STANDARD INDUSTRIAL CLASSIFICATION: GRAIN MILL PRODUCTS [2040] IRS NUMBER: 380710690 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-11841 FILM NUMBER: 98538737 BUSINESS ADDRESS: STREET 1: ONE KELLOGG SQ STREET 2: P O BOX 3599 CITY: BATTLE CREEK STATE: MI ZIP: 49016 BUSINESS PHONE: 6169612000 MAIL ADDRESS: STREET 1: ONE KELLOGG SQUARE STREET 2: P O BOX 3599 CITY: BATTLE CREEK STATE: MI ZIP: 49016 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANK OF NEW YORK CO INC CENTRAL INDEX KEY: 0000009626 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 132614959 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 48 WALL ST 15TH FL CITY: NEW YORK STATE: NY ZIP: 10296 BUSINESS PHONE: 2124951784 SC 13G/A 1 AMENDMENT NO. 21 TO THE SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to Rules 13d-1(b) and (c) and Amendments Thereto Filed Pursuant to Rule 13d-2(b) (Amendment No. 21)* Kellogg Company - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 487836108 -------------------------------------------- (CUSIP Number) * The remainder of this cover page shall be filed 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). 13G - ------------------- ------ CUSIP NO. 487836108 Page 2 - ------------------- ------ - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) The Bank of New York Company, Inc. (I.R.S. 13-2614959) - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 A New York Corporation - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 163,532 SHARES ------------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 140,894,899 OWNED BY ------------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 90,992 PERSON ------------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 138,905,240 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 141,058,431 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 34.3% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 HC - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 13G - ------------------- ------ CUSIP NO. 487836108 Page 3 - ------------------- ------ - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) William E. LaMothe - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 789,579 SHARES ------------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 138,961,540 OWNED BY ------------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 787,525 PERSON ------------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 138,961,540 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 139,751,119 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 34.0% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 13G - ------------------- ------ CUSIP NO. 487836108 Page 4 - ------------------- ------ - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Russell G. Mawby - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 13,757 SHARES ------------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 138,861,540 OWNED BY ------------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 7,200 PERSON ------------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 138,861,540 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 138,875,297 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 33.8% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 13G - ------------------- ------ CUSIP NO. 487836108 Page 5 - ------------------- ------ - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) William C. Richardson - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 1,415 SHARES ------------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 139,583,460 OWNED BY ------------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 400 PERSON ------------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 139,583,460 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 139,584,875 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 33.9% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Schedule 13G Issuer: Kellogg Company Page 6 This Schedule 13G is being filed as Amendment No. 21 to the Schedule 13G dated April 23, 1979 filed on behalf of Harris Trust and Savings Bank, Lyle C. Roll, Russell G. Mawby and William V. Bailey as trustees of the W.K. Kellogg Foundation Trust (the "Trust") with respect to shares of common stock of Kellogg Company (the "Shares"). This Amendment No. 21 is being filed by The Bank of New York as trustee of the Trust, on behalf of the Trust and on behalf of itself, William E. LaMothe, Russell G. Mawby and William C. Richardson, as all of the trustees of the Trust for the year ending December 31, 1997. The number of shares beneficially owned by each of The Bank of New York and certain of its affiliates, William E. LaMothe, Russell G. Mawby, and William C. Richardson, individually, as fiduciary or otherwise, is hereinafter reported. The number of Shares beneficially owned collectively by such persons is 142,685,102, which is 34.7% of the Shares outstanding. Of this amount 138,861,540 Shares, or 33.8% of the Shares outstanding, represent Shares owned in a fiduciary capacity on behalf of the Trust. Shares owned in other fiduciary capacities are noted on Exhibit 99.1. Item 1. (a) Name of Issuer: -------------- Kellogg Company (b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- One Kellogg Square Battle Creek, Michigan 49016-3599 Item 2. (a) Name of Persons Filing: ----------------------- The Bank of New York Company, Inc. William E. LaMothe Russell G. Mawby William C. Richardson (b) Address of Principal Business Office : ------------------------------------- Person Filing Address ------------- ------- The Bank of New York Company, Inc. One Wall Street New York, NY 10286 William E. LaMothe Heritage Tower, Suite 1701 25 West Michigan Avenue Battle Creek, Michigan 49017 Russell G. Mawby Heritage Tower, Suite 1701 25 West Michigan Avenue Battle Creek, Michigan 49017 William C. Richardson W.K. Kellogg Foundation One Michigan Avenue East Battle Creek, Michigan 49017 Schedule 13G Issuer: Kellogg Company Page 7 (c) Citizenship: ------------ The Bank of New York Company, Inc. -A New York Corporation William E. LaMothe -U.S. Citizen Russell G. Mawby -U.S. Citizen William C. Richardson -U.S. Citizen (d) Title of Class of Securities: ----------------------------- All persons filing - common stock (e) CUSIP Number: ------------- All persons filing - 487836108 Item 3. (a) - (h) This statement is being filed pursuant to Rule 13d-1(c). Item 4. Ownership: ---------- (a) Amount Beneficially Owned as of December 31, 1997: -------------------------------------------------- The Bank of New York Company, Inc. -141,058,431 William E. LaMothe -139,751,119 Russell G. Mawby -138,875,297 William C. Richardson -139,584,875 (b) Percent of Class: ----------------- The Bank of New York Company, Inc. - 34.3% William E. LaMothe - 34.0% Russell G. Mawby - 33.8% William C. Richardson - 33.9% (c) Number of shares as to which such person has: --------------------------------------------- (i) Sole power to vote or to direct the vote: The Bank of New York Company, Inc. - 163,532 William E. LaMothe - 789,579 Russell G. Mawby - 13,757 William C. Richardson - 1,415 (ii) Shared power to vote or to direct the vote: The Bank of New York Company, Inc. -140,894,899 William E. LaMothe -138,961,540 Russell G. Mawby -138,861,540 William C. Richardson -139,583,460 Schedule 13G Issuer: Kellogg Company Page 8 (iii) Sole power to dispose or to direct the disposition of: The Bank of New York Company, Inc. - 90,992 William E. LaMothe - 787,525 Russell G. Mawby - 7,200 William C. Richardson - 400 (iv) Shared power to dispose or to direct the disposition of: The Bank of New York Company, Inc. -138,905,240 William E. LaMothe -138,961,540 Russell G. Mawby -138,861,540 William C. Richardson -139,583,460 Item 5. Ownership of Five Percent or Less of a Class: --------------------------------------------- William E. LaMothe resigned as a co-trustee of the Trust effective January 30, 1998. On that same date, Arnold G. Langbo succeeded Mr. LaMothe as a co-trustee of the Trust. Accordingly, as of January 30, 1998, Mr. LaMothe ceased to be the beneficial owner of more than five percent of the common stock of Kellogg Company, and as of January 30, 1998 Mr. Langbo became such a beneficial owner. Beginning with the year ending December 31, 1998, Mr. Langbo will report his shareholdings of Kellogg Company as a member of the group set forth below in item 8 in lieu of Mr. LaMothe. Dr. Russell G. Mawby also resigned as a co-trustee of the Trust effective January 30, 1998. On that same date, Jonathan T. Walton succeeded Dr. Mawby as a co-trustee of the Trust. Accordingly, as of January 30, 1998, Dr. Mawby ceased to be the beneficial owner of more than five percent of the common stock of Kellogg Company, and as of January 30, 1998 Mr. Walton became such a beneficial owner. Beginning with the year ending December 31, 1998, Mr. Walton will report his shareholdings of Kellogg Company as a member of the group set forth below in item 8 in lieu of Dr. Mawby. Item 6. Ownership of More than Five Percent on Behalf of Another Person: ---------------------------------------------------------------- See Exhibit 99.1 Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: --------------------------------------------------------------------- The Bank of New York Company, Inc., a parent holding company, is filing with respect to its following subsidiaries: The Bank of New York One Wall Street New York, NY 10286 The Bank of New York Trust Company 123 Main Street White Plains, New York 10601 Schedule 13G Issuer: Kellogg Company Page 9 Item 8. Identification and Classification of Members of the Group: ---------------------------------------------------------- See Exhibits 99.2 and 99.3 Item 9. Notice of Dissolution of Group: ------------------------------- Not Applicable Item 10. Certification: -------------- Not Applicable Schedule 13G Issuer: Kellogg Company Page 10 SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Dated: February 13, 1998 The Bank of New York, as trustee of the W.K. Kellogg Foundation Trust By /s/ John V. Stenerson ---------------------------------------------- John V. Stenerson Vice President William E. LaMothe /s/ John V. Stenerson ------------------------------------------ By his attorney in fact, John V. Stenerson Russell G. Mawby /s/ John V. Stenerson ------------------------------------------ By his attorney in fact, John V. Stenerson William C. Richardson /s/ John V. Stenerson ------------------------------------------ By his attorney in fact, John V. Stenerson FORM 13G EXHIBIT INDEX -------------
Exhibit No. Exhibit - ----------- ------- Exhibit 24.1 Power of Attorney of William E. LaMothe (incorporated by reference to Exhibit 4.1 to Amendment No. 20 to this Schedule 13G filed on EDGAR on May 14, 1997 ("Amendment No. 20")). Exhibit 24.2 Power of Attorney of Russell G. Mawby (incorporated by reference to Exhibit 4.2 to Amendment No. 20). Exhibit 24.3 Power of Attorney of William C. Richardson (incorporated by reference to Exhibit 4.3 to Amendment No. 20). Exhibit 99.1 Ownership of More Than 5 Percent on Behalf of Another Person. Exhibit 99.2 Identity of Each Person Filing This Schedule 13G. Exhibit 99.3 Agreement Pursuant to Rule 13d-1(f)(1)(iii).
EX-99.1 2 OWNERSHIP OF MORE THAN 5% FORM 13G Exhibit 99.1 In reply to Item 6 on page 8, as of the year ending December 31, 1997, The Bank of New York, William E. LaMothe, Russell G. Mawby and William C. Richardson were trustees of the Trust holding 138,861,540 Shares, or 33.8% of the Shares outstanding. For purposes of this Schedule 13G, The Bank of New York Company, Inc. is reporting on behalf of its subsidiaries, The Bank of New York and The Bank of New York Trust Company, which hold Shares for various persons in various fiduciary capacities. As noted in the preceding paragraph, The Bank of New York's holdings as trustee of the Trust represent 33.8% of the Shares outstanding as of the year ending December 31, 1997. Additional Shares reported on page 2 of this Schedule 13G for The Bank of New York Company, Inc. and its subsidiaries include Shares held in fiduciary capacities for persons other than the Trust. As of the year ending December 31, 1997, William E. LaMothe was co-trustee with his wife and daughters of the Patricia A. and William E. LaMothe Foundation, a charitable foundation organized under Michigan law, holding 100,000 Shares. As of the year ending December 31, 1997, William C. Richardson was co-trustee with Harris Trust and Savings Bank of the Carrie Staines Kellogg Trust #5977, holding 721,920 Shares. W.K. Kellogg Foundation has an interest in Shares held in the Trust and other persons have interests in the above referred Shares held in other fiduciary capacities. Except as described hereinabove, no other person is known to receive or has the power to direct the receipt of dividends from, or the proceeds from the sale of, Shares reported in this filing. EX-99.2 3 IDENTITY OF EACH PERSON FILING THIS SC 13G FORM 13G Exhibit 99.2 In response to the information requested by Item 8 on Page 9, the following is the identity of each person filing this schedule 13G: TRUSTEES OF THE W.K. KELLOGG FOUNDATION TRUST --------------------------------------------- The Bank of New York William E. LaMothe Russell G. Mawby William C. Richardson Such persons expressly declare that they do not affirm the existence of a group for purposes other than this joint filing. EX-99.3 4 AGREEMENT PURSUANT TO RULE 13D-1 (F)(1)(III) FORM 13G Exhibit 99.3 Pursuant to Rule 13d-1(f)(1) each of the persons named below agrees to this joint filing of Form 13G individually and as a trustee of the W.K. Kellogg Foundation Trust and submits this exhibit as proof of its agreement with the other persons named below: The Bank of New York William E. LaMothe Russell G. Mawby William C. Richardson -----END PRIVACY-ENHANCED MESSAGE-----