-----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, FXjMjlbRY19DI/p60bxkQoQTRDOEyzWIhtHRztl46BftFE8iJmV+AhkD+EHkH4/A nbwbYFgV0RMyCV67/QGtSg== 0000893838-98-000037.txt : 19980217 0000893838-98-000037.hdr.sgml : 19980217 ACCESSION NUMBER: 0000893838-98-000037 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NASD GROUP MEMBERS: BESSEMER GROUP INC GROUP MEMBERS: BESSEMER TRUST COMPANY GROUP MEMBERS: BESSEMER TRUST COMPANY OF FLORIDA GROUP MEMBERS: BESSEMER TRUST COMPANY, NATIONAL ASSOCIATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN WATER WORKS CO INC CENTRAL INDEX KEY: 0000318819 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] IRS NUMBER: 510063696 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-09788 FILM NUMBER: 98534929 BUSINESS ADDRESS: STREET 1: 1025 LAUREL OAK RD CITY: VOORHEES STATE: NJ ZIP: 08043 BUSINESS PHONE: 6093468200 MAIL ADDRESS: STREET 1: 1025 LAUREL OAK ROAD CITY: VOORHEES STATE: NJ ZIP: 08043 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BESSEMER GROUP INC CENTRAL INDEX KEY: 0001054074 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 100 WOODBRIDGE CENTER CITY: WOODBRIDGE STATE: NJ ZIP: 07095-1191 BUSINESS PHONE: 9088550800 MAIL ADDRESS: STREET 1: 100 WOODBRIDGE CENTER CITY: WOODBRIDGE STATE: NJ ZIP: 07095-1191 SC 13G/A 1 AMENDMENT NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* AMERICAN WATER WORKS CO., INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 030411 10 2 ----------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement |_|. (A fee is not required only if the filing 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). *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). Page 1 of 8 pages - ------------------------------- ------------------------------- |CUSIP No. 030411 10 2 | 13G | Page 2 of 8 Pages | - ------------------------------- ------------------------------- - -------------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | THE BESSEMER GROUP, INCORPORATED | | | 13-3093730 | - -------------------------------------------------------------------------------- | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | | | (a) |_| | | | (b) |X| | | | | - -------------------------------------------------------------------------------- | 3 | SEC USE ONLY | | | | | | | - -------------------------------------------------------------------------------- | 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | Delaware | - -------------------------------------------------------------------------------- | | 5 | SOLE VOTING POWER | | NUMBER OF | | | | | | -0- | | SHARES | | | | -------------------------------------------------------------- | BENEFICIALLY | 6 | SHARED VOTING POWER | | | | | | OWNED BY | | 6,748,559 shs. | | | | | | EACH -------------------------------------------------------------- | | 7 | SOLE DISPOSITIVE POWER | | REPORTING | | | | | | -0- | | PERSON | | | | -------------------------------------------------------------- | WITH | 8 | SHARED DISPOSITIVE POWER | | | | | | | | 6,748,559 shs. | - -------------------------------------------------------------------------------- | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 6,748,559 shs. | - -------------------------------------------------------------------------------- | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES | | | CERTAIN SHARES* | | | | | | |_| | - -------------------------------------------------------------------------------- | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | | | | | | 8.5% | - -------------------------------------------------------------------------------- | 12 | TYPE OF REPORTING PERSON* | | | | | | HC | - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 8 pages - ------------------------------- ------------------------------- |CUSIP No. 030411 10 2 | 13G | Page 3 of 8 Pages | - ------------------------------- ------------------------------- - -------------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | BESSEMER TRUST COMPANY | | | 22-0770670 | - -------------------------------------------------------------------------------- | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | | | (a) |X| | | | (b) |_| | | | | - -------------------------------------------------------------------------------- | 3 | SEC USE ONLY | | | | | | | - -------------------------------------------------------------------------------- | 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | New Jersey | - -------------------------------------------------------------------------------- | | 5 | SOLE VOTING POWER | | NUMBER OF | | | | | | 4,418,424 shs. | | SHARES | | | | -------------------------------------------------------------- | BENEFICIALLY | 6 | SHARED VOTING POWER | | | | | | OWNED BY | | -0- | | | | | | EACH -------------------------------------------------------------- | | 7 | SOLE DISPOSITIVE POWER | | REPORTING | | | | | | 4,418,424 shs. | | PERSON | | | | -------------------------------------------------------------- | WITH | 8 | SHARED DISPOSITIVE POWER | | | | | | | | -0- | - -------------------------------------------------------------------------------- | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 4,418,424 shs. | - -------------------------------------------------------------------------------- | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES | | | CERTAIN SHARES* | | | | | | |_| | - -------------------------------------------------------------------------------- | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | | | | | | 5.6% | - -------------------------------------------------------------------------------- | 12 | TYPE OF REPORTING PERSON* | | | | | | BK | - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 3 of 8 pages - ------------------------------- ------------------------------- |CUSIP No. 030411 10 2 | 13G | Page 4 of 8 Pages | - ------------------------------- ------------------------------- - -------------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | BESSEMER TRUST COMPANY, NATIONAL ASSOCIATION | | | 13-2792165 | - -------------------------------------------------------------------------------- | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | | | (a) |X| | | | (b) |_| | | | | - -------------------------------------------------------------------------------- | 3 | SEC USE ONLY | | | | | | | - -------------------------------------------------------------------------------- | 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | New York | - -------------------------------------------------------------------------------- | | 5 | SOLE VOTING POWER | | NUMBER OF | | | | | | 2,000 shs. | | SHARES | | | | -------------------------------------------------------------- | BENEFICIALLY | 6 | SHARED VOTING POWER | | | | | | OWNED BY | | -0- | | | | | | EACH -------------------------------------------------------------- | | 7 | SOLE DISPOSITIVE POWER | | REPORTING | | | | | | 2,000 shs. | | PERSON | | | | -------------------------------------------------------------- | WITH | 8 | SHARED DISPOSITIVE POWER | | | | | | | | -0- | - -------------------------------------------------------------------------------- | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 2,000 shs. | - -------------------------------------------------------------------------------- | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES | | | CERTAIN SHARES* | | | | | | |_| | - -------------------------------------------------------------------------------- | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | | | | | | 0.003% | - -------------------------------------------------------------------------------- | 12 | TYPE OF REPORTING PERSON* | | | | | | BK | - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 4 of 8 pages - ------------------------------- ------------------------------- |CUSIP No. 030411 10 2 | 13G | Page 5 of 8 Pages | - ------------------------------- ------------------------------- - -------------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | BESSEMER TRUST COMPANY OF FLORIDA | | | 59-6067333 | - -------------------------------------------------------------------------------- | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | | | (a) |X| | | | (b) |_| | | | | - -------------------------------------------------------------------------------- | 3 | SEC USE ONLY | | | | | | | - -------------------------------------------------------------------------------- | 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | Florida | - -------------------------------------------------------------------------------- | | 5 | SOLE VOTING POWER | | NUMBER OF | | | | | | 561,139 shs. | | SHARES | | | | -------------------------------------------------------------- | BENEFICIALLY | 6 | SHARED VOTING POWER | | | | | | OWNED BY | | 1,766,996 shs. | | | | | | EACH -------------------------------------------------------------- | | 7 | SOLE DISPOSITIVE POWER | | REPORTING | | | | | | 561,139 shs. | | PERSON | | | | -------------------------------------------------------------- | WITH | 8 | SHARED DISPOSITIVE POWER | | | | | | | | 1,766,996 shs. | - -------------------------------------------------------------------------------- | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 2,328,135 shs. | - -------------------------------------------------------------------------------- | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES | | | CERTAIN SHARES* | | | | | | |_| | - -------------------------------------------------------------------------------- | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | | | | | | 2.9% | - -------------------------------------------------------------------------------- | 12 | TYPE OF REPORTING PERSON* | | | | | | BK | - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 5 of 8 pages Item 1. (a) Name of Issuer: American Water Works Co., Inc. (b) Address of Issuer's Principal Executive Offices: 1025 Laurel Oak Road P.O. Box 1770 Voorhees, NJ 08043 Item 2. (a), (b) and (c) Name of Persons Filing, Address of Principal -------------------------------------------- Business Office and Citizenship: -------------------------------- The Bessemer Group, Incorporated ("BGI") as a parent holding company and Bessemer Trust Company ("BTC"), Bessemer Trust Company, National Association ("BTNA") and Bessemer Trust Company of Florida ("BTF") as a group. The filing of this statement by BTC, BTNA and BTF as part of a group does not constitute an admission that any of BTC, BTNA or BTF controls the other. BTC, BTNA and BTF are each wholly-owned by BGI. BTC, BTNA and BTF are each trust companies that manage accounts for the benefit of others. The holders of the securities referred to in this statement are trusts for the benefit of clients of BTC or BTF, of which BTC or BTF are trustees or co-trustees, and accounts managed by BTNA and BTF. BGI and BTC each has its principal business office at 100 Woodbridge Center Drive, Woodbridge, New Jersey 07095-0980. BTNA has its principal office at 630 Fifth Avenue, New York, New York 10111. BTF has its principal office at 222 Royal Palm Way, Palm Beach, Florida 33480-4394. BGI is a corporation organized under the laws of Delaware. BTC is a bank organized under the laws of New Jersey. BTNA is a national bank chartered under the law of the United States of America. BTF is a trust company organized under the laws of Florida. (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 030411 10 2 Page 6 of 8 pages 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) through (f), not applicable. (g) [X] Parent Holding Company, in accordance with Section 240.13d-1(b)(1)(ii)(G), as to BGI. (h) [X] Group, in accordance with Section 240.13d-1(b)(1)(ii)(H), as to BTC, BTNA and BTF. Item 4. Ownership Items 5 through 9 and Item 11 of Pages 2 through 5 of this Statement are incorporated herein by reference. 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 Items 1 and 12 of pages 3 through 5 of this Statement are incorporated herein by reference. Item 8. Identification and Classification of Members of the Group BTC, BTNA and BTF are each banks as defined in Section 3(a)(6) of the Securities Exchange Act of 1934, as amended. Item 9. Notice of Dissolution of Group Not applicable. Page 7 of 8 pages Item 10. Certification By signing below, the undersigned certify that, to the best of the knowledge and belief of the undersigned, 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 purposes or effect. Item 11. 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: February 12, 1998 THE BESSEMER GROUP, INCORPORATED By: /s/ Richard R. Davis ------------------------------------ Name: Richard R. Davis Title: Executive Vice President BESSEMER TRUST COMPANY By: /s/ Richard R. Davis ------------------------------------ Name: Richard R. Davis Title: Executive Vice President BESSEMER TRUST COMPANY, NATIONAL ASSOCIATION By: /s/ Richard R. Davis ------------------------------------ Name: Richard R. Davis Title: Executive Vice President BESSEMER TRUST COMPANY OF FLORIDA By: /s/ Richard R. Davis ------------------------------------ Name: Richard R. Davis Title: Executive Vice President Page 8 of 8 pages -----END PRIVACY-ENHANCED MESSAGE-----