-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, mFoaDx7PzKQT+HqQGFwy8fP96dUfaFqoTM0G2/CQxm9ESWD0qGeglEMjHF6ER0FN PUuZnEwKb8jh18MVfKg7oA== 0000067347-95-000009.txt : 19950616 0000067347-95-000009.hdr.sgml : 19950616 ACCESSION NUMBER: 0000067347-95-000009 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19950323 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MODINE MANUFACTURING CO CENTRAL INDEX KEY: 0000067347 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 390482000 STATE OF INCORPORATION: WI FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-10880 FILM NUMBER: 95522574 BUSINESS ADDRESS: STREET 1: 1500 DEKOVEN AVE CITY: RACINE STATE: WI ZIP: 53403 BUSINESS PHONE: 4146361200 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MODINE MANUFACTURING CO CENTRAL INDEX KEY: 0000067347 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 390482000 STATE OF INCORPORATION: WI FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1500 DEKOVEN AVE CITY: RACINE STATE: WI ZIP: 53403 BUSINESS PHONE: 4146361200 SC 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Modine Manufacturing Company ---------------------------- (Name of Issuer) Current Members of the Administrative Committees of Modine Manufacturing Company's Contributory Employee Stock Ownership and Investment Plans: Salaried Employees: Robert M. Gunnerson, Roger L. Hetrick; Dean R. Zakos; and alternates: Donald G. Lautz and V. S. Frangopoulos Hourly-Rate Non-Union Employees: Robert M. Gunnerson, Roger L. Hetrick; Robert C. Weeks; and alternates: Donald G. Lautz and V. S. Frangopoulos Hourly-Rate Union Employees: Robert M. Gunnerson, Roger L. Hetrick; Robert C. Weeks; alternates: Donald G. Lautz and V. S. Frangopoulos ------------------------------------------------------ (Names of Persons Filing Statement) Common Stock, par value $0.625 per share ---------------------------------------- (Title of Class of Securities) 607828-100 ---------- (CUSIP Number) This Schedule 13G reflects purchases and reporting of shares previously held by the persons filing this statement and inadvertently filed under cover of Schedule 13D ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the following box if a fee is being paid with this statement: [X] 1(a) CUSIP No. 607828-100 ---------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons R. M. Gunnerson ---------------------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) X --------------- (b) --------------- 3) SEC Use Only --------------------------------- 4) Source of Funds (See Instructions) 00, PF --------------------------------- 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2 (e) ------------------------------------- 6) Citizenship U.S. -------------------------------- Number of (7) Sole Voting Power 92,466 Shares ------------------------------------- Bene- (MCESOIPS' ADMINISTRATIVE COMMITTEES) ficially (8) Shared Voting Power 5,710,348 Owned by ------------------------------------- Each (9) Sole Dispositive Reporting Power 92,466 Person ------------------------------------- With (10) Shared Dispositive (MCESOIPS' ADMINISTRATIVE COMMITTEES) Power 5,710,348 ------------------------------------- 11) Aggregate Amount Beneficially Owned by Each Reporting Person 5,770,390 ---------------------------------- 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ------------------------------------- 13) Percent of Class Represented by Amount in Row (11) 19.4% -------------------- 14) Type of Reporting Person (See Instructions) EP, IN (As a member of ---------------------------- the MCESOIPS' Administrative Committees and Individually) ------------------------------------------------------------------------ 1(b) CUSIP No. 607828-100 ---------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons R. L. Hetrick ---------------------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) X --------------- (b) --------------- 3) SEC Use Only --------------------------------- 4) Source of Funds (See Instructions) 00, PF --------------------------------- 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2 (e) ------------------------------------- 6) Citizenship U.S. -------------------------------- Number of (7) Sole Voting Power 53,559 Shares ------------------------------------- Bene- (MCESOIPS' ADMINISTRATIVE COMMITTEES) ficially (8) Shared Voting Power 5,710,348 Owned by ------------------------------------- Each (9) Sole Dispositive Reporting Power 53,559 Person ------------------------------------- With (10) Shared Dispositive (MCESOIPS' ADMINISTRATIVE COMMITTEES) Power 5,710,348 ------------------------------------- 11) Aggregate Amount Beneficially Owned by Each Reporting Person 5,753,285 ---------------------------------- 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ------------------------------------- 13) Percent of Class Represented by Amount in Row (11) 19.4% -------------------- 14) Type of Reporting Person (See Instructions) EP, IN (As a member of ---------------------------- the MCESOIPS' Administrative Committees and Individually) ------------------------------------------------------------------------ 1(c) CUSIP No. 607828-100 ---------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons D. G. Lautz ---------------------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) X --------------- (b) --------------- 3) SEC Use Only --------------------------------- 4) Source of Funds (See Instructions) 00, PF --------------------------------- 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2 (e) ------------------------------------- 6) Citizenship U.S. -------------------------------- Number of (7) Sole Voting Power 16,658 Shares ------------------------------------- Bene- (MCESOIPS' ADMINISTRATIVE COMMITTEES) ficially (8) Shared Voting Power 5,710,348 Owned by ------------------------------------- Each (9) Sole Dispositive Reporting Power 16,658 Person ------------------------------------- With (10) Shared Dispositive (MCESOIPS' ADMINISTRATIVE COMMITTEES) Power 5,710,348 ------------------------------------- 11) Aggregate Amount Beneficially Owned by Each Reporting Person 5,712,756 ---------------------------------- 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ------------------------------------- 13) Percent of Class Represented by Amount in Row (11) 19.2% -------------------- 14) Type of Reporting Person (See Instructions) EP, IN (As a member of ---------------------------- the MCESOIPS' Administrative Committees and Individually) ------------------------------------------------------------------------ 1(d) CUSIP No. 607828-100 ---------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons D. R. Zakos ---------------------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) X --------------- (b) --------------- 3) SEC Use Only --------------------------------- 4) Source of Funds (See Instructions) 00, PF --------------------------------- 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2 (e) ------------------------------------- 6) Citizenship U.S. -------------------------------- Number of (7) Sole Voting Power 35,005 Shares ------------------------------------- Bene- (MCESOIPS' ADMINISTRATIVE COMMITTEES) ficially (8) Shared Voting Power 5,710,348 Owned by ------------------------------------- Each (9) Sole Dispositive Reporting Power 35,005 Person ------------------------------------- With (10) Shared Dispositive (MCESOIPS' ADMINISTRATIVE COMMITTEES) Power 5,710,348 ------------------------------------- 11) Aggregate Amount Beneficially Owned by Each Reporting Person 5,740,287 ---------------------------------- 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ------------------------------------- 13) Percent of Class Represented by Amount in Row (11) 19.3% -------------------- 14) Type of Reporting Person (See Instructions) EP, IN (As a member of ---------------------------- the MCESOIPS' Administrative Committees and Individually) ------------------------------------------------------------------------ 1(e) CUSIP No. 607828-100 ---------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons R. C. Weeks ---------------------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) X --------------- (b) --------------- 3) SEC Use Only --------------------------------- 4) Source of Funds (See Instructions) 00, PF --------------------------------- 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2 (e) ------------------------------------- 6) Citizenship U.S. -------------------------------- Number of (7) Sole Voting Power 15,463 Shares ------------------------------------- Bene- (MCESOIPS' ADMINISTRATIVE COMMITTEES) ficially (8) Shared Voting Power 5,710,348 Owned by ------------------------------------- Each (9) Sole Dispositive Reporting Power 15,463 Person ------------------------------------- With (10) Shared Dispositive (MCESOIPS' ADMINISTRATIVE COMMITTEES) Power 5,710,348 ------------------------------------- 11) Aggregate Amount Beneficially Owned by Each Reporting Person 5,713,428 ---------------------------------- 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ------------------------------------- 13) Percent of Class Represented by Amount in Row (11) 19.2% -------------------- 14) Type of Reporting Person (See Instructions) EP, IN (As a member of ---------------------------- the MCESOIPS' Administrative Committees and Individually) ------------------------------------------------------------------------ 1(f) CUSIP No. 607828-100 ---------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons V. S. Frangopoulos ---------------------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) X --------------- (b) --------------- 3) SEC Use Only --------------------------------- 4) Source of Funds (See Instructions) 00, PF --------------------------------- 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2 (e) ------------------------------------- 6) Citizenship U.S. -------------------------------- Number of (7) Sole Voting Power 348,675 Shares ------------------------------------- Bene- (MCESOIPS' ADMINISTRATIVE COMMITTEES) ficially (8) Shared Voting Power 5,710,348 Owned by ------------------------------------- Each (9) Sole Dispositive Reporting Power 348,675 Person ------------------------------------- With (10) Shared Dispositive (MCESOIPS' ADMINISTRATIVE COMMITTEES) Power 5,710,348 ------------------------------------- 11) Aggregate Amount Beneficially Owned by Each Reporting Person 5,991,155 ---------------------------------- 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ------------------------------------- 13) Percent of Class Represented by Amount in Row (11) 20.2% -------------------- 14) Type of Reporting Person (See Instructions) EP, IN (As a member of ---------------------------- the MCESOIPS' Administrative Committees and Individually) ------------------------------------------------------------------------ 1(g) Item 1(a). Name of Issuer: - --------- -------------- Modine Manufacturing Company Item 1(b). Address of Issuer's Principal Executive Offices: - --------- ----------------------------------------------- 1500 DeKoven Ave. Racine, WI 53403 Item 2(a). Name of Person Filing: - --------- --------------------- Modine Manufacturing Company's Contributory Employee Stock Ownership and Investment Plans. This statement is being filed by the members of the Administrative Committees defined in Modine's qualified Contributory Employee Stock Ownership Plan Trust Agreement (the "MCESOP Trust") in their capacities as members of the Administrative Committees. Based on a review of applicable Securities and Exchange Commission regulations, the members of the Administrative Committees believe that previous purchases and sales of shares have been inadvertently filed under cover of Schedule 13D. Accordingly, no further statements pertaining to the MCESOP Trust will be filed by the Administrative Committees on Schedule 13D. A final statement pertaining to the MCESOP Trust will be filed by the Administrative Committees on Form 13D to close out the reporting of share transactions under that Schedule. Item 2(b). Address of Principal Business Office, or, if none, Residence: - --------- ------------------------------------------------------------ 1500 DeKoven Ave. Racine, WI 53403 Item 2(c). Citizenship: - --------- ----------- U.S.A. Item 2(d). Title of Class of Securities: - --------- ---------------------------- Common Item 2(e). CUSIP Number: - --------- ------------ 607828-100 Item 3: If this statement is filed pursuant to Rule 13d-1(b)(1) - ------ or 13d-2(b), 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, pension fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or endowment fund; see 240.13d- 1(b)(1)(ii)(F). (g) [ ] Parent holding company, in accordance with 240.13d- 1(b)(ii)(G). If this statement is filed pursuant to Rule 13d-1(b)(2), check this box. [ ] 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: See Pages 1(b), 1(c), 1(d), 1(e), 1(f) and 1 (g). (b) Percent of class: See Pages 1(b), 1(c), 1(d), 1(e), 1(f) and 1 (g). (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: See Pages 1(b), 1(c), 1(d), 1(e), 1(f) and 1 (g). (ii) Shared power to vote or to direct the vote: See Pages 1(b), 1(c), 1(d), 1(e), 1(f) and 1 (g). (iii) Sole power to dispose or to direct the disposition of: See Pages 1(b), 1(c), 1(d), 1(e), 1(f) and 1 (g). (iv) Shared power to dispose or to direct the disposition of: See Pages 1(b), 1(c), 1(d), 1(e), 1(f) and 1 (g). 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: ------ Not applicable. 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 attached exhibit. Item 9. Notice of Dissolution of Group: - ------ ------------------------------ Not applicable. Item 10. Certification: - ------- ------------- 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. R. M. GUNNERSON March 13, 1995 - ---------------------------------------------- -------------- R. M. Gunnerson, Treasurer, and Secretary of Date the Administrative Committees of the Salaried, Hourly-Rate Non-Union, and Hourly-Rate Union Employees Plans. R. L. HETRICK March 13, 1995 - ---------------------------------------------- -------------- R. L. Hetrick, Vice President - Human Date Resources, and member of the Administrative Committees of the Salaried, Hourly-Rate Non- Union, and Hourly-Rate Union Employees Plans. D. R. ZAKOS March 13, 1995 - ---------------------------------------------- -------------- D. R. Zakos, Associate General Counsel and Date Assistant Secretary, and member of the Administrative Committee of the Salaried Employees Plans. D. G. LAUTZ March 13, 1995 - ---------------------------------------------- -------------- D. G. Lautz, Senior Counsel and alternate Date member of the Administrative Committees of the Salaried, Hourly-Rate Non-Union, and Hourly-Rate Union Employees Plans. R. C. WEEKS March 13, 1995 - ---------------------------------------------- -------------- R. C. Weeks, Employee Relations Director Date and alternate member of the Administrative Committees of the Hourly-Rate Non-Union and Hourly-Rate Union Employees Plans. V. S. FRANGOPOULOS March 13, 1995 - ---------------------------------------------- -------------- V. S. Frangopoulos, Group Vice President, Date and alternate member of the Administrative Committees of the Salaried, Hourly-Rate Non- Union, and Hourly-Rate Union Employees Plans. APPENDIX A This statement is being filed by members of the Administrative Committees of Modine's Contributory Stock Purchase and Investment Plans in their capacities as Administrative Committee members. R. M. Gunnerson: Mr. Gunnerson is Treasurer of Modine, and Secretary of the Administrative Committees of the Salaried, Hourly-Rate Non-Union and Hourly- Rate Union Employees Plans. R. L. Hetrick: Mr. Hetrick is Vice President, Human Resources, and member of the Administrative Committees of the Salaried, Hourly-Rate Non- Union and Hourly-Rate Union Employees Plans. D. R. Zakos: Mr. Zakos is Associate General Counsel and Assistant Secretary and a member of the Administrative Committee of the Salaried Employees Plan. D. G. Lautz: Mr. Lautz is Senior Counsel of Modine, and an alternate member of the Administrative Committees of the Salaried, Hourly-Rate Non- Union and Hourly-Rate Union Employees Plans. R. C. Weeks: Mr. Weeks is Employee Relations Director and alternate member of the Administrative Committees of the Hourly-Rate Non-Union and Hourly-Rate Union Employees Plans. V. S. Frangopoulos: Mr. Frangopoulos is Group Vice President; and an alternate member of the Administrative Committees of the Salaried, Hourly-Rate Non- Union and Hourly-Rate Union Employees Plans. The business address for Messrs. Gunnerson, Hetrick, Zakos, Lautz, Weeks and Frangopoulos and Modine Manufacturing Company is 1500 DeKoven Avenue, Racine, Wisconsin 53403. Modine Manufacturing Company is a manufacturer of heat-transfer products. -----END PRIVACY-ENHANCED MESSAGE-----