-----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, PXqT66hm9U87zDFshR88Yw96s/v9/d3qqsjPU1DH4zFyPU1prs1KoXEMLXrBW2gf 9k9SQp9KlVdDeKTcJi8R8A== 0000067347-97-000003.txt : 19970221 0000067347-97-000003.hdr.sgml : 19970221 ACCESSION NUMBER: 0000067347-97-000003 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970211 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-10880 FILM NUMBER: 97524365 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/A BUSINESS ADDRESS: STREET 1: 1500 DEKOVEN AVE CITY: RACINE STATE: WI ZIP: 53403 BUSINESS PHONE: 4146361200 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) Modine Manufacturing Company ---------------------------- (Name of Issuer) Current Members of the Investment Committee of Modine Manufacturing Company's Pension Trusts: R. T. Savage V. S. Frangopoulos D. R. Johnson W. E. Pavlick A. D. Reid ----------------------------------- (Names of Persons Filing Statement) Common Stock, par value $0.625 per share ---------------------------------------- (Title of Class of Securities) 607828-100 -------------- (CUSIP Number) December 31, 1996 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the following box if a fee is being paid with this statement: [ ] 1(a) CUSIP NO. 607828-100 --------------------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons R. T. Savage ---------------------------- 2) Check the Appropriate Box if a Member of a Group (a) X --------------------- (b) --------------------- 3) SEC Use Only -------------------------------------------------------- 4) Citizenship U.S. ----------------- Number of (5) Sole Voting Power 452,059 Shares Bene- ----------------- ficially (6) Shared Voting Power 1,978,047 Owned by ----------------- Each Report- (7) Sole Dispositive Power 452,059 ing Person ----------------- With (8) Shared Dispositive Power 1,978,047 ----------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,430,106 ----------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares --------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 8.14% ------- 12) Type of Reporting Person EP, IN (As a member of the ----------------------------------- Pension Trust Investment Committee and individually.) ------------------------------------------------------------- 1(b) 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 (a) X ----------------------- (b) ----------------------- 3) SEC Use Only ------------------------------------------------------- 4) Citizenship U.S. ------------------- Number of (5) Sole Voting Power 333,538 Shares Bene- ------------------ ficially (6) Shared Voting Power 1,978,047 Owned by ------------------ Each Report- (7) Sole Dispositive Power 333,538 ing Person ------------------ With (8) Shared Dispositive Power 1,978,047 ------------------ 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,311,585 ------------------ 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares --------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 7.74% -------- 12) Type of Reporting Person EP, IN (As a member of the ----------------------------------- Pension Trust Investment Committee 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. R. Johnson ----------------------------- 2) Check the Appropriate Box if a Member of a Group (a) X ---------------------- (b) ---------------------- 3) SEC Use Only ------------------------------------------------------- 4) Citizenship U.S. --------------------- Number of (5) Sole Voting Power 220,430 Shares Bene- ------------------- ficially (6) Shared Voting Power 1,978,047 Owned by ------------------- Each Report- (7) Sole Dispositive Power 220,430 ing Person ------------------- With (8) Shared Dispositive Power 1,978,047 ------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,198,477 ------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 7.36% ------- 12) Type of Reporting Person EP, IN (As a member of the ------------------------------------ Pension Trust Investment Committee and individually.) ------------------------------------------------------------- 1(d) CUSIP NO. 607828-100 ------------------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons W. E. Pavlick --------------------------- 2) Check the Appropriate Box if a Member of a Group (a) X ----------------------- (b) ----------------------- 3) SEC Use Only ------------------------------------------------------- 4) Citizenship U.S. ------------------ Number of (5) Sole Voting Power 283,694 Shares Bene- ------------------ ficially (6) Shared Voting Power 1,978,047 Owned by ------------------ Each Report- (7) Sole Dispositive Power 283,694 ing Person ------------------ With (8) Shared Dispositive Power 1,978,047 ------------------ 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,261,741 ------------------ 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ------------------------------------------------ 11) Percent of Class Represented by Amount in Row (9) 7.58% ------- 12) Type of Reporting Person EP, IN (As a member of the --------------------------------- Pension Trust Investment Committee and individually.) ------------------------------------------------------------ 1(e) CUSIP NO. 607828-100 ------------------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons A. D. Reid -------------------- 2) Check the Appropriate Box if a Member of a Group (a) X ---------------------- (b) ----------------------- 3) SEC Use Only ------------------------------------------------------- 4) Citizenship Australia ---------------------- Number of (5) Sole Voting Power 117,489 Shares Bene- ---------------- ficially (6) Shared Voting Power 1,978,047 Owned by ---------------- Each Report- (7) Sole Dispositive Power 117,489 ing Person ---------------- With (8) Shared Dispositive Power 1,978,047 ---------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,095,536 ---------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 7.02% -------- 12) Type of Reporting Person EP, IN (As a member of the ---------------------------------- Pension Trust Investment Committee and individually.) ------------------------------------------------------------- 1(f) Item 1(a). Name of Issuer: - --------- -------------- Modine Manufacturing Company Item 1(b). Address of Issuer's Principal Executive Offices: - --------- ----------------------------------------------- 1500 DeKoven Avenue Racine, WI 53403 Item 2(a). Name of Person Filing: - --------- --------------------- Modine Manufacturing Company's Pension Trusts. This statement is being filed by the members of the Investment Committee defined in Modine's Pension Trusts (the "Pension Trusts") in their capacities as members of the Investment Committee. Item 2(b). Address of Principal Business Office, or, if none, Residence: - --------- ------------------------------------------------------------ 1500 DeKoven Avenue 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) - ------ 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 section 240.13d-1(b)(1)(ii)(F). (g) [ ] Parent holding company, in accordance with section 240.13d-1(b)(ii)(G). (h) [ ] groups, in accordance with section 240.13d-1(b)(1)(ii)(H). 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 1(b), 1(c), 1(d), --- 1(e) and 1(f). (b) Percent of class: See 1(b), 1(c), 1(d), 1(e) and 1(f). --- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: See 1(b), 1(c), 1(d), 1(e) and 1(f). --- (ii) Shared power to vote or to direct the vote: See 1(b), 1(c), 1(d), 1(e) and 1(f). --- (iii) Sole power to dispose or to direct the disposition of: See 1(b), 1(c), 1(d), 1(e) and 1(f). --- (iv) Shared power to dispose or to direct the disposition of: See 1(b), 1(c), 1(d), 1(e) and 1(f). --- 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: - ------- ------------- 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 purpose or effect. Signature: R. T. SAVAGE February 7, 1997 - --------------------------------------------- ------------------ R. T. Savage, Chairman and Chief Executive Date Officer, and member of the Investment Committee D. R. JOHNSON February 7, 1997 - --------------------------------------------- ------------------ D. R. Johnson, President and Chief Operating Date Officer and member of the Investment Committee V. S. FRANGOPOULOS February 7, 1997 - --------------------------------------------- ------------------ V. S. Frangopoulos, Group Vice President, Date Off-Highway Products and member of the Investment Committee W. E. PAVLICK February 7, 1997 - --------------------------------------------- ------------------ W. E. Pavlick, Senior Vice President, General Date Counsel and Secretary, and member of the Investment Committee A. D. REID February 7, 1997 - --------------------------------------------- ----------------- A. D. Reid, Vice President Finance and Chief Date Financial Officer, and member of the Investment Committee APPENDIX A This statement is being filed by members of the Investment Committee of Modine's Pension Trusts in their capacity as Investment Committee members. R. T. Savage: Mr. Savage is Chairman, Chief Executive Officer, Director of Modine, and member of the Investment Committee. D. R. Johnson: Mr. Johnson is President and Chief Operating Officer and a member of the Investment Committee. V. S. Frangopoulos: Mr. Frangopoulos is Group Vice President, Off-Highway Products and a member of the Investment Committee. W. E. Pavlick: Mr. Pavlick is Senior Vice President, General Counsel and Secretary of Modine, and member of the Investment Committee. A. D. Reid: Mr. Reid is Vice President - Finance, and Chief Financial Officer of Modine, and member of the Investment Committee. The business address for Messrs. Savage, Johnson, Frangopoulos, Pavlick, and Reid 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-----