-----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, SQ1hw+rzDSWOpqzJtHZ0c0xGLcGm09jJaeSeunW4el0PiFx4p2Y+yOTxb1rPyU7U 4D6VYjvCqsjAKkWa5Kmfdw== 0001079388-00-000002.txt : 20000202 0001079388-00-000002.hdr.sgml : 20000202 ACCESSION NUMBER: 0001079388-00-000002 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000114 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NELSON THOMAS INC CENTRAL INDEX KEY: 0000071023 STANDARD INDUSTRIAL CLASSIFICATION: BOOKS: PUBLISHING OR PUBLISHING AND PRINTING [2731] IRS NUMBER: 620679364 STATE OF INCORPORATION: TN FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-10668 FILM NUMBER: 507328 BUSINESS ADDRESS: STREET 1: 501 NELSON PLACE CITY: NASHVILLE STATE: TN ZIP: 37214-1000 BUSINESS PHONE: 6158899000 MAIL ADDRESS: STREET 1: P O BOX 141000 CITY: NASHVILLE STATE: TN ZIP: 37214-1000 FORMER COMPANY: FORMER CONFORMED NAME: ROYAL PUBLISHERS INC DATE OF NAME CHANGE: 19721019 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NELSON THOMAS INC EMPL STOCK OWNERSHIP PLAN INVEST COMMITTEE CENTRAL INDEX KEY: 0001079388 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 620679364 STATE OF INCORPORATION: TN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: P O BOX 141000 CITY: NASHVILLE STATE: TN ZIP: 37214-1000 BUSINESS PHONE: 6158899000 MAIL ADDRESS: STREET 1: P O BOX 141000 CITY: NASHVILLE STATE: TN ZIP: 37214-1000 SC 13G 1 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), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1) Thomas Nelson, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 640376109 (CUSIP Number) January 1, 2000 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ X ] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) _____________ *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 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 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). (Bulletin No. 179, 02-06-98) CUSIP NO. 640376109 13G Page 2 of 5 NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Thomas Nelson, Inc. Employee Stock Ownership Plan-Investment Committee TEIN #62-0679364 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 Not applicable (a) [ ] (b) [ ] SEC USE ONLY 3 CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States of America SOLE VOTING POWER 5 0 NUMBER OF SHARES SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 0 EACH REPORTING SOLE DISPOSITIVE POWER PERSON 7 WITH 0 SHARED DISPOSITIVE POWER 8 Plan holds 770,077 shares of Common Stock includes 17,181 shares of Class B Common Stock which is convertible into Common Stock on a one to one basis) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 770,077 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [ ] PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 770,077 / 13,141,476 = 5.9% TYPE OF REPORTING PERSON* 12 EP *SEE INSTRUCTIONS BEFORE FILLING OUT! Date: 1/14/2000 Page 3 of 5 Item 1(a) Name of Issuer: Thomas Nelson, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 501 Nelson Place, Nashville, TN 37214-1000 Item 2(a) Name of Person Filing: Thomas Nelson, Inc. Employee Stock Ownership Plan- Investment Committee Item 2(b) Address of Principal Business Office: 501 Nelson Place, Nashville, TN 37214-1000 Item 2(c) Citizenship: United States of America Item 2(d) Title of Class of Securities: Common Stock Item 2 (e) CUSIP Number: 640376109 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (f) [ X ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F) Item 4 Ownership (a) Amount Beneficially Owned: (See Page 2, No. 9) (b) Percent of Class: (See Page 2, No. 11) (c) Number of shares as to which each person has: (i) sole power to vote or to direct the vote (See Page 2, No. 5) (ii) shared power to vote or to direct the vote (See Page 2, No. 6) Date: 1/14/2000 Page 4 of 5 (iii) sole power to dispose or to direct the disposition of (See Page 2, No. 7) (iv) shared power to dispose or to direct the disposition of (See Page 2, No. 8) Item 5. Ownership of Five Percent or Less of a Class. Not applicable 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. The Investment Committee has the power to direct investment decisions (other than permitted participant transactions). The Investment Committee is comprised of Eric Heyden, Vice President and General Counsel; Rusty Faulks, Human Resource Director; and Les Hottovy, Tax Director. Individual Committee members disclaim beneficial ownership of shares held in the Plan. 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 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. Date: 1/14/2000 Page 5 of 5 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. THOMAS NELSON, INC. EMPLOYEE STOCK OWNERSHIP PLAN-INVESTMENT COMMITTEE BY: /s/ Les Hottovy ----------------------- Les Hottovy, Member Investment Committee Dated: January 14, 2000 -----END PRIVACY-ENHANCED MESSAGE-----