0000312069-14-000004.txt : 20140212
0000312069-14-000004.hdr.sgml : 20140212
20140212131202
ACCESSION NUMBER: 0000312069-14-000004
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20140212
DATE AS OF CHANGE: 20140212
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: ZOLTEK COMPANIES INC
CENTRAL INDEX KEY: 0000890923
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRICAL INDUSTRIAL APPARATUS [3620]
IRS NUMBER: 431311101
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-50421
FILM NUMBER: 14598750
BUSINESS ADDRESS:
STREET 1: 3101 MCKELVEY RD
CITY: ST LOUIS
STATE: MO
ZIP: 63044
BUSINESS PHONE: 3142915110
MAIL ADDRESS:
STREET 1: 3101 MCKELVEY ROAD
CITY: ST LOUIS
STATE: MO
ZIP: 63044
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: BARCLAYS PLC
CENTRAL INDEX KEY: 0000312069
STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029]
IRS NUMBER: 000000000
STATE OF INCORPORATION: X0
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 1 CHURCHILL PLACE
STREET 2: CANARY WHARF
CITY: LONDON
STATE: X0
ZIP: E14 5HP
BUSINESS PHONE: 01100442076993139
MAIL ADDRESS:
STREET 1: 1 CHURCHILL PLACE
STREET 2: CANARY WHARF
CITY: LONDON
STATE: X0
ZIP: E14 5HP
FORMER COMPANY:
FORMER CONFORMED NAME: BARCLAYS BANK PLC
DATE OF NAME CHANGE: 19850313
FORMER COMPANY:
FORMER CONFORMED NAME: BARCLAYS BANK LTD
DATE OF NAME CHANGE: 19820607
SC 13G
1
zoltek_13g-20131231.txt
FINAL DRAFT SUBMISSION
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
Zoltek Companies, Inc.
(Name of Issuer)
Common Stock, $0.01 Par Value
(Title of Class of Securities)
98975W104
(CUSIP Number)
December 31, 2013
(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).
CUSIP No. 98975W104
-------------------------------------------
1. Names of Reporting Persons.
Barclays PLC
-------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
-------------------------------------------
3. SEC Use Only
-------------------------------------------
4. Citizenship or Place of Organization
England, United Kingdom
5. Sole Voting Power
Number of 1,946,584
Shares ------------------------------
Beneficially 6. Shared Voting Power
Owned by Each -0-
Reporting ------------------------------
Person With: 7. Sole Dispositive Power
1,946,584
------------------------------
8. Shared Dispositive Power
-0-
--------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
1,946,584
--------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) [ ]
--------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
5.66%
--------------------------------------------
12. Type of Reporting Person (See Instructions)
HC
---------------------------------------------
CUSIP No. 98975W104
---------------------------------------------
1. Names of Reporting Persons.
Barclays Capital Inc.
----------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
----------------------------------------------
3. SEC Use Only
----------------------------------------------
4. Citizenship or Place of Organization
Connecticut, United States
5. Sole Voting Power
Number of 13,040
Shares ------------------------------
Beneficially 6. Shared Voting Power
Owned by Each -0-
Reporting ------------------------------
Person With: 7. Sole Dispositive Power
13,040
------------------------------
8. Shared Dispositive Power
-0-
-----------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
13,040
-----------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) [ ]
-----------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
0.04%
-----------------------------------------------
12. Type of Reporting Person (See Instructions)
BD
-----------------------------------------------
CUSIP No. 98975W104
-----------------------------------------------
1. Names of Reporting Persons.
Barclays Bank PLC
-----------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
----------------------------------------------
3. SEC Use Only
----------------------------------------------
4. Citizenship or Place of Organization
England, United Kingdom
5. Sole Voting Power
Number of 621,682
Shares ------------------------------
Beneficially 6. Shared Voting Power
Owned by Each -0-
Reporting ------------------------------
Person With: 7. Sole Dispositive Power
621,682
------------------------------
8. Shared Dispositive Power
-0-
------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
621,682
------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) [ ]
------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
1.81%
------------------------------------------------
12. Type of Reporting Person (See Instructions)
BK
------------------------------------------------
CUSIP No. 98975W104
------------------------------------------------
1. Names of Reporting Persons.
Barclays Capital Securities Limited
------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
------------------------------------------------
3. SEC Use Only
------------------------------------------------
4. Citizenship or Place of Organization
England, United Kingdom
5. Sole Voting Power
Number of 88,800
Shares ------------------------------
Beneficially 6. Shared Voting Power
Owned by Each -0-
Reporting ------------------------------
Person With: 7. Sole Dispositive Power
88,800
------------------------------
8. Shared Dispositive Power
-0-
-------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
88,800
-------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) [ ]
-------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
0.26%
-------------------------------------------------
12. Type of Reporting Person (See Instructions)
BD
-------------------------------------------------
CUSIP No. 98975W104
-------------------------------------------------
1. Names of Reporting Persons.
Barclays Capital Derivative Funding
-------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
-------------------------------------------------
3. SEC Use Only
-------------------------------------------------
4. Citizenship or Place of Organization
Delaware, United States
5. Sole Voting Power
Number of 1,223,062
Shares ------------------------------
Beneficially 6. Shared Voting Power
Owned by Each -0-
Reporting ------------------------------
Person With: 7. Sole Dispositive Power
1,223,062
------------------------------
8. Shared Dispositive Power
-0-
-------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
1,223,062
-------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) [ ]
-------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
3.56%
-------------------------------------------------
12. Type of Reporting Person (See Instructions)
BD
-------------------------------------------------
Item 1.
(a) Name of Issuer:
Zoltek Companies, Inc.
(b) Address of Issuer's Principal Executive Offices:
3101 McKelvey Road
St. Louis, Missouri 63044
--------------------------------------------------
Item 2.
(a) Name of Person Filing:
(1) Barclays PLC
(2) Barclays Capital Inc.
(3) Barclays Bank PLC
(4) Barclays Capital Securities Limited
(5) Barclays Capital Derivative Funding
(b) Address of Principal Business Office or, if none, Residence:
(1) Barclays PLC
1 Churchill Place,
London, E14 5HP, England
(2) Barclays Capital Inc.
745 Seventh Avenue
New York, NY 10019
(3) Barclays Bank PLC
1 Churchill Place,
London, E14 5HP, England
(4) Barclays Capital Securities Limited
5 The North Colonnade
Canary Wharf
London, E14 4BB, England
(5) Barclays Capital Derivative Funding
c/o Corporation Trust Company, Corporation Trust Center
1209 Orange Street
Wilmington, DE 19801
(c) Citizenship:
(1) Barclays PLC: England, United Kingdom
(2) Barclays Capital Inc.: Connecticut, United States
(3) Barclays Bank PLC: England, United Kingdom
(4) Barclays Capital Securities Limited: England, United Kingdom
(5) Barclays Capital Derivative Funding: Delaware, United States
(d) Title of Class of Securities: Common Stock, $0.01 Par Value
(e) CUSIP Number: 98975W104
-----------------------------------------------------
Item 3. If this statement is filed pursuant to Sub-Section 240.13d-1
(b) or 240.13d-2(b)
or (c), check whether the person filing is a:
(a) [X] Broker or dealer registered under section 15 of
the Act (15 U.S.C. 78o);
(b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c) [ ] Insurance company as defined in section 3(a)(19) of the
Act (15 U.S.C. 78c);
(d) [ ] Investment company registered under section 8
of the Investment
Company Act of 1940 (15 U.S.C. 80a-8);
(e) [ ] An investment adviser in accordance with
Sub-Section 240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
Sub-Section 240.13d-1(b)(1)(ii)(F);
(g) [X] A parent holding company or control person in accordance with
Sub-Section 240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the
definition of an investment company under
section 3(c)(14) of the Investment Company Act
of 1940 (15 U.S.C. 80a-3);
(j) [X] A non-U.S. institution that is the functional
equivalent of any of the institutions listed
in Rule 240.13d-1 (b)(1)(ii)(A) through (I);
(k) [ ] Group, in accordance with Sub-Section 240.13d-1(b)(1)(ii)(J).
------------------------------------------------------
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 the response(s) to Item 9 on the attached cover page(s).
(b) Percent of class:
See the response(s)to Item 11 on the attached cover page(s).
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote:
See the response(s) to Item 5 on the attached cover page(s).
(ii) Shared power to vote or to direct the vote:
See the response(s) to Item 6 on the attached cover page(s).
(iii) Sole power to dispose or to direct the disposition of:
See the response(s) to Item 7 on the attached cover page(s).
(iv) Shared power to dispose or to direct the disposition of:
See the response(s) to Item 8 on the attached cover page(s).
--------------------------------------------------------
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.
See Exhibit A.
--------------------------------------------------------
Item 8. Identification and Classification of Members of the Group.
Not Applicable.
--------------------------------------------------------
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 and are held in the
ordinary course of business and 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.
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 12, 2014
By : Dirk Young
Title: Managing Director, Head of Central Compliance, GCS
--------------------------------------------------------
INDEX TO EXHIBITS
Exhibit A Item 7 Information
Exhibit B Joint Filing Agreement
-------------------------------------------------------
EXHIBIT A
The securities being reported on by Barclays PLC,
as a parent holding company, are owned, or may be
deemed to be beneficially owned, by Barclays Capital
Inc., a broker or dealer registered under Section
15 of the Act, Barclays Bank PLC, a non-US banking
institution authorised by the Prudential Regulation
Authority and regulated by the Financial Conduct Authority
and the Prudential Regulation Authority in the United Kingdom
and Barclays Capital Securities Limited, a non-US broker or
dealer regulated by the Financial Conduct Authority and
the Prudential Regulation Authority in the United Kingdom.
Barclays Capital Inc., Barclays Bank PLC,Barclays Capital
Derivative Funding and Barclays Capital Securities Limited
are wholly-owned subsidiaries of Barclays PLC.
-------------------------------------------------------
EXHIBIT B
JOINT FILING AGREEMENT
The undersigned hereby agree that the Statement on
Schedule 13G filed herewith (and any amendments thereto),
is being filed jointly with the Securities and Exchange
Commission pursuant to Rule 13d-1(k) (1) under the Securities
Exchange Act of 1934, as amended, on behalf of each such person.
Dated: February 12, 2014
BARCLAYS PLC
By:
Name: Dirk Young
Title: Managing Director, Head of Central Compliance, GCS
BARCLAYS CAPITAL INC.
By:
Name: Dirk Young
Title: Managing Director, Head of Central Compliance, GCS
BARCLAYS BANK PLC
By:
Name: Dirk Young
Title: Managing Director, Head of Central Compliance, GCS
Barclays Capital Securities Limited
By:
Name: Dirk Young
Title: Managing Director, Head of Central Compliance, GCS
Barclays Capital Derivative Funding
By:
Name: Dirk Young
Title: Managing Director, Head of Central Compliance, GCS