-----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, KG+xhwhzdTVc6ES1gn/UOz/yTpxvKdXExIhp1XZ8Rbeo/MknNf2mBttdqftsnQ6f 5emPHOOESTYPVaHV2V6hTQ== 0000950152-02-000892.txt : 20020414 0000950152-02-000892.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950152-02-000892 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020211 GROUP MEMBERS: CHARLES H. SMITH, III SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SIFCO INDUSTRIES INC CENTRAL INDEX KEY: 0000090168 STANDARD INDUSTRIAL CLASSIFICATION: AIRCRAFT ENGINES & ENGINE PARTS [3724] IRS NUMBER: 340553950 STATE OF INCORPORATION: OH FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-30844 FILM NUMBER: 02533255 BUSINESS ADDRESS: STREET 1: 970 E 64TH ST CITY: CLEVELAND STATE: OH ZIP: 44103 BUSINESS PHONE: 2168818600 MAIL ADDRESS: STREET 1: 970 EAST 64TH STREET CITY: CLEVELAND STATE: OH ZIP: 44103 FORMER COMPANY: FORMER CONFORMED NAME: STEEL IMPROVEMENT & FORGE CO DATE OF NAME CHANGE: 19690520 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CARLSON JANICE G CENTRAL INDEX KEY: 0001031486 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 101 ARTILLERY POST ROAD CITY: FORT SAM HOUSTON STATE: TX ZIP: 78234 BUSINESS PHONE: 2102276715 MAIL ADDRESS: STREET 1: 101 ARTILLERY POST ROAD CITY: FORT SAM HOUSTON STATE: TX ZIP: 78234 SC 13D/A 1 l92497asc13da.txt SIFCO INDUSTRIES, INC./JANICE G. CARLSON--SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (AMENDMENT NO. 1)* SIFCO INDUSTRIES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON SHARES, $1.00 PAR VALUE PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 826546-10-3 - -------------------------------------------------------------------------------- (CUSIP Number) Janice G. Carlson 31556 Tres Lomas Bulverde, TX 78163 830-980-2749 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 14, 2002 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. [ ] NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. * 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 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.) Page 2 of 6 CUSIP No. 826546-10-3 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Janice G. Carlson - -------------------------------------------------------------------------------- 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) OO - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ....................................... - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization U. S. Citizen - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Number of Shares 7. Sole Voting Power ................................ Beneficially by Owned by Each 8. Shared Voting Power 2,002,947 Reporting Person With 9. Sole Dispositive Power ........................... 10. Shared Dispositive Power ......................... - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 2,002,947 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) .................................... - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 39.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instruction) OO Page 3 of 6 CUSIP No. 826546-10-3 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Charles H. Smith, III - -------------------------------------------------------------------------------- 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) OO - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ............................... - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization U. S. Citizen - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Number of Shares 7. Sole Voting Power ................................ Beneficially by Owned by Each 8. Shared Voting Power 2,002,947 Reporting Person With 9. Sole Dispositive Power ........................... 10. Shared Dispositive Power ......................... - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 2,002,947 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) .................................... - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 39.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instruction) OO Page 4 of 6 ITEM 1. SECURITY AND ISSUER This statement relates to the common shares, par value $1 per share (the "Shares") of SIFCO Industries, Inc., an Ohio corporation ("SIFCO"), whose principal executive offices are located at 970 East 64th Street, Cleveland, Ohio 44103. ITEM 2. IDENTITY AND BACKGROUND This statement is filed by Charles H. Smith, III and Janice G. Carlson as trustees (collectively the "Trustees") under the Voting Trust Extension Agreement dated January 14, 2002 (the "Extension Agreement"), which extends until January 31, 2007 the term of the Voting Trust Agreement dated January 15, 1997 (the "Voting Trust Agreement"). Information as to each of these individuals is set forth below: (a) Charles H. Smith, III. (b) Mr. Smith's residence address is 8002 Overhill Road, Bethesda, Maryland 20014. (c) Mr. Smith's present principal occupation is Country Officer at the InterAmerican Development Bank, 1300 New York Avenue, N.W., Washington, D.C. 20577. (d) Mr. Smith has not, during the last five years, been convicted in any criminal proceeding (excluding traffic violations or other minor offenses). (e) Mr. Smith has not, during the last five years, been a party to any civil proceeding as a result of which he would be subject to any judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violations with respect to such laws. (f) Mr. Smith is a citizen of the United States. (a) Janice G. Carlson (b) Mrs. Carlson's residence address is 31556 Tres Lomas, Bulverde, Texas 78163. (c) Mrs. Carlson's present principal occupation is homemaker. (d) Mrs. Carlson has not, during the last five years, been convicted in any criminal proceeding (excluding traffic violations or other minor offenses). (e) Mrs. Carlson has not, during the last five years, been a party to any civil proceeding as a result of which she would be subject to any judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violations with respect to such laws. (f) Mrs. Carlson is a citizen of the United States. ITEMS 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Mr. Smith and Mrs. Carlson currently own, as Trustees, 2,002,947 SIFCO Shares pursuant to the Voting Trust Agreement, as extended by the Extension Agreement to which this filing relates. ITEM 4. PURPOSE OF TRANSACTION The purpose of the Extension Agreement is to continue the investment of the signing shareholders in SIFCO and to continue to maintain the stability of SIFCO through the Trustees' exercise of voting control over the SIFCO Shares subject to the Voting Trust Agreement. The Trustees have no plan or proposal that would result in: Page 5 o f 6 (a) the acquisition or disposition of any additional SIFCO securities by any person; (b) an extraordinary corporate transaction such as a merger, reorganization or liquidation involving SIFCO or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of SIFCO or any of its subsidiaries; (d) any change in the present Board of Directors or management of SIFCO, including any plan or proposal to change the number or term of directors or fill any existing vacancies on the Board; (e) any material change in the present capitalization or dividend policy of SIFCO; (f) any other material change in SIFCO's business or corporate structure; (g) changes in SIFCO's Articles of Incorporation or Code of Regulations or instruments corresponding thereto which may impede the acquisition of control of SIFCO by any person; (h) causing a class of securities of SIFCO to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of SIFCO becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or (j) any action similar to any of those enumerated above. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) The aggregate number of SIFCO Shares subject to the Voting Trust Agreement, as extended by the Extension Agreement, is 2,002,947, constituting approximately 39.1% of the 5,120,933 Shares of SIFCO outstanding on December 7, 2001. The ownership of voting trust certificates under the Voting Trust Agreement, as extended by the Extension Agreement, is set forth on Exhibit 1 filed herewith. (b) Mr. Smith and Mrs. Carlson, as Trustees, share the power to vote the Shares subject to the Voting Trust Agreement, as extended. Although the Trustees do not have the power to dispose of the Shares subject to the Voting Trust Agreement, as extended, they share the power to terminate the Voting Trust Agreement, as extended, or to return Shares subject to the Voting Trust Agreement, as extended, to holders of voting trust certificates. (c) No transactions in SIFCO Shares or voting trust certificates have been engaged in during the past sixty days by the Trustees or, to their knowledge, any of the signing shareholders. (d) Under the terms of the Voting Trust Agreement, as extended, all dividends paid with respect to SIFCO Shares are distributed to the holders of the related voting trust certificates. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Pursuant to the Extension Agreement, the Voting Trust Agreement was extended an additional five-year term until January 31, 2007. The Trustees may terminate this trust during any original or extended term by notice to the holders of voting trust certificates. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Exhibit (1). Voting Trust Certificate distribution as of September 30, 2001. Exhibit (2). Voting Trust Extension Agreement dated January 14, 2002. Exhibit (3). Joint Filing Agreement. Page 6 of 6 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. Dated: February 6, 2002 /s/ Janice G. Carlson --------------------------------- Janice G. Carlson, Trustee under the Voting Trust Agreement dated January 15, 1997, as extended. /s/ Charles H. Smith, III --------------------------------- Charles H. Smith, III, Trustee under the Voting Trust Agreement dated January 15, 1997, as extended. Exhibit 1 VOTING TRUST CERTIFICATE DISTRIBUTION SIFCO INDUSTRIES, INC. SEPTEMBER 30, 2001 - -------------------------------------------------------------------------------- SMITH FAMILY Shares Subtotal Total Percent - -------------------------------------------------------------------------------- C. H. Smith, Jr. 243,367 - -------------------------------------------------------------------------------- Florence Smith 3,600 - -------------------------------------------------------------------------------- NatCity TTEE Fund A RDS 112,354 - -------------------------------------------------------------------------------- NatCity TTEE Fund B RDS 41,313 - -------------------------------------------------------------------------------- NatCity Trust FRW fbo CHS 171,202 - -------------------------------------------------------------------------------- Subtotal Beneficial Holdings 571,936 11.12% - -------------------------------------------------------------------------------- Charles H. Smith, III 59,337 - -------------------------------------------------------------------------------- Hilda Smith 3,575 - -------------------------------------------------------------------------------- Jennifer Smith (Cust) 4,963 - -------------------------------------------------------------------------------- Jennifer C. Smith (TTEE) 14,250 - -------------------------------------------------------------------------------- C. Jason Smith (Cust) 4,838 - -------------------------------------------------------------------------------- C. Jason Smith (TTEE) 14,250 - -------------------------------------------------------------------------------- Deborah Morris 61,741 - -------------------------------------------------------------------------------- Robert J. Morris, Jr. 225 - -------------------------------------------------------------------------------- Robert J. Morris, III 18,863 - -------------------------------------------------------------------------------- Skylar D. Morris (Cust) 2,250 - -------------------------------------------------------------------------------- Ryan C. Morris 11,738 - -------------------------------------------------------------------------------- Ryan C. Morris (TTEE) 7,125 - -------------------------------------------------------------------------------- Kaitlin Morris (Cust) 100 - -------------------------------------------------------------------------------- Adam Morris 4,613 - -------------------------------------------------------------------------------- Adam Morris (TTEE) 14,250 - -------------------------------------------------------------------------------- Molly D. Morris (Cust) 4,613 - -------------------------------------------------------------------------------- Molly D. Morris (TTEE) 14,250 - -------------------------------------------------------------------------------- Hudson D. Smith 73,344 - -------------------------------------------------------------------------------- Deborah Ann Smith 4,255 - -------------------------------------------------------------------------------- Hudson D. Smith, Jr. 4,576 - -------------------------------------------------------------------------------- Hudson D. Smith, Jr. (TTEE) 15,000 - -------------------------------------------------------------------------------- Cynthia R. Smith (Cust) 4,576 - -------------------------------------------------------------------------------- Cynthia R. Smith (TTEE) 15,200 - -------------------------------------------------------------------------------- C. Halle Smith (Cust) 4,576 - -------------------------------------------------------------------------------- C. Halle Smith (TTEE) 15,200 - -------------------------------------------------------------------------------- Smith Other Family 377,608 7.34% - -------------------------------------------------------------------------------- Total Smith Family 949,544 18.46% - -------------------------------------------------------------------------------- Voting Trust Distribution Continued September 30, 2001 - -------------------------------------------------------------------------------- GOTSCHALL FAMILY Shares Subtotal Total Percent - -------------------------------------------------------------------------------- Phyllis S. Gotschall TTEE 304,677 - -------------------------------------------------------------------------------- George D. Gotschall TTEE 94,088 - -------------------------------------------------------------------------------- NatCity Trust FRW fbo PSG 171,207 - -------------------------------------------------------------------------------- Family Annuity TR #1 43,500 - -------------------------------------------------------------------------------- Family Annuity TR #2 43,500 - -------------------------------------------------------------------------------- Subtotal Beneficial Holdings 656,972 13.48% - -------------------------------------------------------------------------------- Jeffrey P. Gotschall 104,700 - -------------------------------------------------------------------------------- Dianne Gotschall 400 - -------------------------------------------------------------------------------- Judith A. Gotschall 10,375 - -------------------------------------------------------------------------------- Andrew C. Gotschall (Cust) 10,375 - -------------------------------------------------------------------------------- Charles H. Gotschall (Cust) 10,375 - -------------------------------------------------------------------------------- Craig Ramsey 7,400 - -------------------------------------------------------------------------------- Alison Ramsey 7,400 - -------------------------------------------------------------------------------- Janice G. Carlson 66,099 - -------------------------------------------------------------------------------- Christie L. Lennen 10,375 - -------------------------------------------------------------------------------- David E. Fulcher 10,375 - -------------------------------------------------------------------------------- Laura G. Gifford 58,844 - -------------------------------------------------------------------------------- Robert V. Gifford, Jr. (Cust/TR) 16,450 - -------------------------------------------------------------------------------- Terry G. Gifford 7,800 - -------------------------------------------------------------------------------- Subtotal Other Family 320,968 5.54% - -------------------------------------------------------------------------------- Total Gotschall Family 977,940 19.02% - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CHS SR FOUNDATION 75,463 - -------------------------------------------------------------------------------- Total other holdings 75,463 1.47% - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Grand Total Voting Trust (issued Shares) 2,002,947 38.95% - -------------------------------------------------------------------------------- Total SIFCO shs outstanding @ 8/31/00 - Diluted 5,142,600 100% - -------------------------------------------------------------------------------- Exhibit 2 VOTING TRUST EXTENSION AGREEMENT -------------------------------- THIS AGREEMENT entered into by and among those holders of Common Shares of SIFCO Industries, Inc. executing and delivering this Agreement ("Shareholders") and JANICE G. CARLSON and CHARLES H. SMITH, III, as Trustees and their successors in trust (said named Trustees and their successors being hereinafter called the "Trustees"); WITNESSES --------- As of February 1, 1997 certain shareholders of SIFCO Industries, Inc. (the "Company") entered into a Voting Trust Agreement (the "Trust Agreement") with respect to their shares of Common Stock in the Company; and Pursuant to Section 14 of the Trust Agreement, the term of Trust Agreement may be extended for an additional period not to exceed ten years upon the concurrence of the holders of Trust Certificates representing not less than 85% of the 2,002,947 shares deposited under the Trust Agreement, (after giving effect to stock dividends issued subsequent to the date of the Trust Agreement, the "Trust Shares"); and The shareholders constituting the holders of Trust Certificates representing not less than 85% of the Trust Shares, wish to extend the term of the Trust Agreement, on the terms and conditions set forth therein, for an additional five (5) years from January 31, 2002. NOW, THEREFORE, each Shareholder of the Company who becomes a party hereto agrees with each of the other such Shareholders for himself and his heirs, administrators, successors and assigns as follows: 1. EXTENSION OF TRUST AGREEMENT. The Trust Agreement shall be extended, unless sooner terminated on the terms and conditions set forth therein, to January 31, 2007, upon the occurrence prior to January 31, 2002 of the earlier of either: 1 of 8 (a) the execution of this Agreement by the holders of not less than 1,702,5005 shares of Common Stock of the Company, such number representing not less than 85% of the Trust Shares, or (b) the presentation to the Company of a certificate signed by the Secretary of the meeting, certifying that at a meeting duly called and held for the purpose of considering an extension, at a place in Cuyahoga County, Ohio, specified in a notice given either by the Trustees or a Trust Certificate holder, not less than ten (10) nor more than thirty (30) days prior to such meeting to each Trust Certificate holder under the Trust Agreement, the holders of Trust Certificates representing not less than eighty-five (85) percent of the Trust Shares voted in favor of this extension. 2. DEFINED TERMS. Capitalized terms used herein and not otherwise defined shall have the meanings assigned to them in the Trust Agreement. 3. EXECUTION. This Extension Agreement may be executed in any number of counterparts, each of which, when executed, shall be deemed to be an original and all of which together shall constitute but one and the same instrument. This Extension Agreement shall inure to the benefit of, and be binding upon, all persons executing it and their respective heirs, executors, administrators, legatees and assigns. 2 of 8 IN WITNESS WHEREOF, the Trustees have executed and delivered this Extension Agreement and the Shareholders have become parties hereto in the manner herein before provided. TRUSTEES: /S/ Janice G. Carlson -------------------------------- Janice G. Carlson /S/ Charles H. Smith, III -------------------------------- Charles H. Smith, III 3 of 8 VOTING TRUST EXTENSION AGREEMENT -------------------------------- TO JANUARY 31, 2007 -------------------
SHAREHOLDER NUMBER OF SHARES SIGNATURE DATE - ----------- ---------------- --------- ---- C. H. Smith, Jr. 243,367 /S/ C. H. Smith, Jr. 1/14/02 --------------------------- ------- Florence Smith 3,600 /S/ Florence Smith 1/14/02 --------------------------- ------- C. H. Smith Sr. Foundation 75,463 C. H. Smith, Jr., President /S/ C. H. Smith, Jr. 1/14/02 --------------------------- ------- Charles H. Smith, III 59,337 /S/ Charles H. Smith, III 1/12/02 --------------------------- ------- Hilda Smith 3,575 /S/ Hilda Smith 1/12/02 --------------------------- ------- Jennifer Smith (Cust) 4,963 /S/ Chares H. Smith, III 1/12/02 --------------------------- ------- Jennifer C. Smith (TTEE) 14,250 /S/ Charles H. Smith, III 1/12/02 --------------------------- ------- C. Jason Smith (Cust) 4,838 /S/ Charles H. Smith, III 1/12/02 --------------------------- ------- C. Jason Smith (TTEE) 14,250 /S/ Charles H. Smith, III 1/12/02 --------------------------- ------- Hudson D. Smith 73,344 /S/ Hudson D. Smith 1/7/02 --------------------------- ------- Deborah Ann Smith 4,255 /S/ Deborah Ann Smith 1/7/02 --------------------------- ------- Hudson D. Smith, Jr. 4,576 /S/ Hudson D. Smith, Jr. 1/7/02 --------------------------- ------- Hudson D. Smith, Jr. (TTEE) 15,000 /S/ Hudson D. Smith, Jr. 1/7/02 --------------------------- ------- Cynthia R. Smith (Cust) 4,576 /S/ Hudson D. Smith 1/7/02 --------------------------- ------- Cynthia R. Smith (TTEE) 15,200 /S/ Hudson D. Smith 1/7/02 --------------------------- ------- C. Halle Smith (Cust) 4,576 /S/ Hudson D. Smith 1/7/02 --------------------------- ------- C. Halle Smith (TTEE) 15,200 /S/ Hudson D. Smith 1/7/02 --------------------------- -------
4 of 8 VOTING TRUST EXTENSION AGREEMENT -------------------------------- TO JANUARY 31, 2007 -------------------
SHAREHOLDER NUMBER OF SHARES SIGNATURE DATE - ----------- ---------------- --------- ---- Deborah Morris 61,741 /S/ Deborah Morris 12/25/01 -------------------------- -------- Robert J. Morris, Jr. 225 /S/ Robert J. Morris, Jr. 12/25/01 -------------------------- -------- Robert J. Morris, III 18,863 /S/ Robert J. Morris, III 12/25/01 -------------------------- -------- Skylar D. Morris (Cust) 2,250 /S/ Robert J. Morris, III 12/25/01 -------------------------- -------- Ryan C. Morris 11,738 /S/ Ryan C. Morris 12/25/01 -------------------------- -------- Ryan C. Morris (TTEE) 7,125 /S/ Deborah Morris 12/25/01 -------------------------- -------- Kaitlin Morris (Cust) 100 /S/ Ryan C. Morris 12/25/01 -------------------------- -------- Adam Morris 4,613 /S/ Adam Morris 12/25/01 -------------------------- -------- Adam Morris (TTEE) 14,250 /S/ Deborah Morris 12/25/01 -------------------------- -------- Molly D. Morris (Cust) 4,613 /S/ Deborah Morris 12/25/01 -------------------------- -------- Molly D. Morris (TTEE) 14,250 /S/ Deborah Morris 12/25/01 -------------------------- --------
5 of 8 VOTING TRUST EXTENSION AGREEMENT -------------------------------- TO JANUARY 31, 2007 -------------------
SHAREHOLDER NUMBER OF SHARES SIGNATURE DATE - ----------- ---------------- --------- ---- Phyllis S. Gotschall TTEE 304,677 /S/ Phyllis S. Gotschall 12/22/01 -------------------------- -------- George D. Gotschall TTEE 94,088 /S/ Phyllis S. Gotschall 12/22/01 -------------------------- -------- Family Annuity TR #1 43,500 /S/ Jeffrey P. Gotschall 12/13/01 -------------------------- -------- Family Annuity TR #2 43,500 /S/ Phyllis S. Gotschall 12/22/01 -------------------------- -------- Jeffrey P. Gotschall 104,700 /S/ Jeffrey P. Gotschall 12/2/01 -------------------------- -------- Dianne Gotschall 400 /S/ Dianne Gotschall 12/2/01 -------------------------- -------- Judith A. Gotschall 10,375 /S/ Judith A. Gotschall 12/9/01 -------------------------- -------- Andrew C. Gotschall 10,375 /S/ Andrew C. Gotschall 12/14/01 -------------------------- -------- Charles H. Gotschall (Cust) 10,375 /S/ Jeffrey P. Gotschall 12/13/01 -------------------------- -------- Craig Ramsey 7,400 /S/ Craig Ramsey 12/13/01 -------------------------- -------- Alison Ramsey 7,400 /S/ Alison Ramsey 12/13/01 -------------------------- --------
6 of 8 VOTING TRUST EXTENSION AGREEMENT -------------------------------- TO JANUARY 31, 2007 -------------------
SHAREHOLDER NUMBER OF SHARES SIGNATURE DATE - ----------- ---------------- --------- ---- Janice G. Carlson 66,099 /S/ Janice G. Carlson 12/26/01 --------------------------- -------- Christie L. Lennen 10,375 /S/ Christie L. Lennen 12/10/01 --------------------------- -------- David E. Fulcher 10,375 /S/ David E. Fulcher 12/21/01 --------------------------- -------- Laura G. Gifford 58,844 /S/ Laura G. Gifford 12/04/01 --------------------------- -------- Robert V. Gifford, Jr. (Cust) 7,000 /S/ Laura G. Gifford 12/04/01 --------------------------- -------- Robert V. Gifford, Jr. (TTEE) 9,450 /S/ Laura G. Gifford 12/04/01 --------------------------- -------- Terry G. Gifford (Cust) 7,800 /S/ Laura G. Gifford 12/04/01 --------------------------- --------
7 of 8 VOTING TRUST EXTENSION AGREEMENT -------------------------------- TO JANUARY 31, 2007 -------------------
SHAREHOLDER SHARES SIGNATURE DATE - ----------- ------ --------- ---- National City Bank, and its successors, as trustee of Fund A-1 under the trust agreement between Rhea D. Smith and National City Bank as trustee dated December 8, 1981 as amended and restated on September 16, 1989 112,356 /S/ Maurice Conden, Jr. 12/17/01 ------------------------ -------- National City Bank, and its successors, as trustee of Fund B under the trust agreement between Rhea D. Smith and National City Bank as trustee dated December 8, 1981 as amended and restated on September 16, 1989 41,313 /S/ Maurice Conden, Jr. 12/17/01 ------------------------ -------- National City Bank TTEE U/A FRW/CHS #33-3443034 171,202 /S/ Maurice Conden, Jr. 12/17/01 ------------------------ -------- National City Bank TTEE U/A FRW/PSG #33-3443026 171,207 /S/ Maurice Conden, Jr. 12/17/01 ------------------------ --------
Exhibit 3 Joint Filing Agreement Pursuant to Rule 13d-1(k)(1)(iii) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned agree that the statement on Schedule 13D (including amendments thereto) with respect to the common shares of SIFCO Industries, Inc. to which this exhibit is attached is filed on behalf of each of them in the capacities set forth below. Dated: February 6, 2002 /s/ Janice G. Carlson --------------------------------------- Janice G. Carlson, Trustee under the Voting Trust Agreement dated January 15, 1997, as extended. /s/ Charles H. Smith, III --------------------------------------- Charles H. Smith, III, Trustee under the Voting Trust Agreement dated January 15, 1997, as extended. -----END PRIVACY-ENHANCED MESSAGE-----