-----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, LChyQU6e6cnfGWgunLP8v6yOp8OzDRTwKogNVmMcGxqcg+MT0bzoaXfHwizopXCM mbK8+7KzdfJub5wIU0y9ew== 0001029574-01-500027.txt : 20010809 0001029574-01-500027.hdr.sgml : 20010809 ACCESSION NUMBER: 0001029574-01-500027 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010808 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TODD SHIPYARDS CORP CENTRAL INDEX KEY: 0000098537 STANDARD INDUSTRIAL CLASSIFICATION: SHIP & BOAT BUILDING & REPAIRING [3730] IRS NUMBER: 132906669 STATE OF INCORPORATION: WA FISCAL YEAR END: 0401 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-30447 FILM NUMBER: 1700845 BUSINESS ADDRESS: STREET 1: PO BOX 3806 CITY: SEATTLE STATE: WA ZIP: 98124 BUSINESS PHONE: 2066231635 MAIL ADDRESS: STREET 1: P O BOX 3806 CITY: SEATTLE STATE: WA ZIP: 98124 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ARIES HILL CORP CENTRAL INDEX KEY: 0000937708 STANDARD INDUSTRIAL CLASSIFICATION: TEXTILE MILL PRODUCTS [2200] IRS NUMBER: 161023268 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1350 ONE M & T PLAZA CITY: BUFFALO STATE: NY ZIP: 14203 BUSINESS PHONE: 7168456000 MAIL ADDRESS: STREET 1: 1350 ONE M & T PLAZA CITY: BUFFALO STATE: NY ZIP: 14203 SC 13D/A 1 todd10.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* TODD SHIPYARDS CORPORATION _________________________________________________________________ (Name of Issuer) Common Stock, $.01 Per Share Par Value _________________________________________________________________ (Title of Class of Securities 889039-10-3 ____________________________ (CUSIP Number) Brent D. Baird 1350 One M&T Plaza Buffalo, New York 14203 (Phone: (716) 849-1484) _________________________________________________________________ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) July 31, 2001 _______________________ (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d- 1(b)(3) or (4), check the following box __. Check the following box if a fee is being paid with the statement. __. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) 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). SCHEDULE 13D Amendment No. 10 CUSIP NO. 889039-10-3 1. Name of Reporting Person SS or IRS Identification No. of above person (optional) First Carolina Investors, Inc. 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)___ (b)_X_ 3. SEC USE ONLY 4. SOURCE OF FUNDS* WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ____ 6. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES 7. SOLE VOTING POWER BENEFICIALLY OWNED -0- BY EACH REPORTING PERSON WITH 8. SHARED VOTING POWER -0- 9. SOLE DISPOSITIVE POWER -0- 10. SHARED DISPOSITIVE POWER -0- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* ____ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.000% 14. TYPE OF REPORTING PERSON* CO, IV CUSIP NO. 889039-10-3 1. Name of Reporting Person SS or IRS Identification No. of above person (optional) Jane D. Baird 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)___ (b)_X_ 3. SEC USE ONLY 4. SOURCE OF FUNDS* PF 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ____ 6. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. NUMBER OF SHARES 7. SOLE VOTING POWER BENEFICIALLY OWNED 26,800 BY EACH REPORTING PERSON WITH 8. SHARED VOTING POWER -0- 9. SOLE DISPOSITIVE POWER 26,800 10. SHARED DISPOSITIVE POWER -0- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 26,800 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* ____ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.513% 14. TYPE OF REPORTING PERSON* IN SCHEDULE 13D Amendment No. 10 CUSIP NO. 889039-10-3 NOTE: THE EXECUTION AND SUBMISSION OF THIS STATEMENT SHALL NOT BE CONSTRUED AS A STATEMENT OR ADMISSION THAT THE REPORTING PERSONS (I) ARE ACTING AS A GROUP IN THE ACQUISITION OF THE SHARES, (II) COLLECTIVELY CONSTITUTE A "PERSON" WITHIN THE MEANING OF SECTION 13(D)(3) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED (THE "ACT"), OR (III) FOR THE PURPOSES OF SECTION 13(D) OF THE ACT, ARE THE BENEFICIAL OWNERS OF ANY SHARES OTHER THAN THE SHARES IN WHICH EACH PERSON IS SPECIFICALLY IDENTIFIED IN THIS STATEMENT TO HAVE A BENEFICIAL INTEREST. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) The Reporting Persons hereby report beneficial ownership, in the manner hereinafter described, of 588,600 Shares of the Issuer:
Percentage of Number Of Outstanding Shares Held in the Name of Shares Security (1) Aries Hill Corp. 40,000 0.765% Brent D. Baird (2) 60,000 1.148% Anne S. Baird 20,000 0.383% Cameron D. Baird 100 0.002% Jane D. Baird 26,800 0.513% Bridget B. Baird individually 25,000 0.478% as successor trustee under an agreement dated 12/23/38 (3) 110,000 2.105% The Cameron Baird 93,200 1.783% Foundation Brian D. Baird individually 19,400 0.371% as trustee of the Jane D. Baird trusts dated 6/15/87 (4) 24,000 0.459% as successor trustee f/b/o Jane D. Baird under an agreement dated 7/31/22 (3) 65,000 1.244% Barbara P. Baird individually 15,000 0.287% as custodian f/b/o Jonathan P. Baird (5) 5,300 0.101% Jeremy J. Baird 5,300 0.101% Ruth R. Senturia 5,500 0.105% First Carolina Investors, Inc. 0 0.000% Bruce C. Baird 61,000 1.167% Belmont Contracting Co., Inc. 10,000 0.191% Martha B. Senturia 3,000 0.057% _____ ______ TOTAL 588,600 11.262%
(1) The foregoing percentages assume that the number of Shares of the Issuer outstanding is 5,226,346 Shares (as reported by the Issuer as of August 7, 2001). (2) 15,000 of these Shares are held in a retirement plan for Brent D. Baird, and 10,000 of these shares are held in a pension plan for Brent D. Baird. (3) Jane D. Baird is the income beneficiary; the issue of Jane D. Baird are the remainder beneficiaries. (4) The grandchildren of Jane D. Baird are the beneficiaries of these trusts. Since the filing of Amendment No. 9, some of the shares have been distributed to the respective beneficiaries. (5) Jonathan P. Baird is a child of Barbara P. Baird and Brian D. Baird. (b) For each person named in paragraph (a), that person has sole voting and sole dispositive power over the Shares enumerated in paragraph (a). (c) The following sales of the Shares were effected during the past sixty days: On July 31, 2001, First Carolina Investors, Inc. sold 700,000 Shares at $8.25 per share. The transaction was effected as part of the "Dutch Auction" conducted by Issuer. (d) Not applicable (e) Not applicable 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 this 8th day of August, 2001. JANE D. BAIRD By: s/Brian D. Baird Brian D. Baird, as Attorney-in-fact FIRST CAROLINA INVESTORS, INC. By: s/Brent D. Baird Brent D. Baird, Chairman -----END PRIVACY-ENHANCED MESSAGE-----