-----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, TWcA6v8//kiu30uzBxxzPSKV2sk76g3TeSJhPAxpvW0zQW5sWDMrKZqFOO/8wx2p gkepfosgQ7F1ILV9GuIhpg== 0000913355-97-000017.txt : 19970222 0000913355-97-000017.hdr.sgml : 19970222 ACCESSION NUMBER: 0000913355-97-000017 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FARREL CORP CENTRAL INDEX KEY: 0000034645 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 222689245 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44163 FILM NUMBER: 97533230 BUSINESS ADDRESS: STREET 1: 25 MAIN STREET CITY: ANSONIA STATE: CT ZIP: 06401 BUSINESS PHONE: 2037365500 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LIEBERGESELL ROLF K CENTRAL INDEX KEY: 0000908579 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: FARREL CORP STREET 2: 25 MAIN ST CITY: ANSONIA STATE: CT ZIP: 06401 BUSINESS PHONE: 2037365500 SC 13G/A 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Farrel Corporation - ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, $0.01 par value - ------------------------------------------------------------------------------ (Title of Class of Securities) 311-667-109 ----------------------------- (CUSIP Number) *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 5 CUSIP No. 311-667-109 13G PAGE 2 of 5 Pages 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON Rolf K. Liebergesell 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] Not applicable (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America 5 SOLE VOTING POWER 2,806,412* * Includes 240,000 shares subject to options under the Issuer's 1992 Stock Option Plan, as to which Mr. Liebergesell had a right to acquire beneficial ownership within 60 days of December 31, 1996, and excludes 82,000 shares held by Mr. Liebergesell's wife as trustee of a trust for the benefit of the adult children of Mr. Liebergesell as to which Mr. NUMBER OF Liebergesell disclaims beneficial ownership. SHARES BENEFICIALLY OWNED BY EACH 6 SHARED VOTING POWER REPORTING PERSON 59,500* WITH * Represents shares held by a nonprofit corporation of which Mr. Liebergesell is a member of the Board of Directors. 7 SOLE DISPOSITIVE POWER 2,806,412* * Includes 240,000 shares subject to options under the Issuer's 1992 Stock Option Plan, as to which Mr. Liebergesell had a right to acquire beneficial ownership within 60 days of December 31, 1996, and excludes 82,000 shares held by Mr. Liebergesell's wife as trustee of a trust for the benefit of the adult children of Mr. Liebergesell as to which Mr. Liebergesell disclaims beneficial ownership. 8 SHARED DISPOSITIVE POWER 59,500* * Represents shares held by a nonprofit corporation of which Mr. Liebergesellis a member of the Board of Directors. 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,865,912 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 46.2% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 5 Item 1(a) NAME OF THE ISSUER: Farrel Corporation Item 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 25 Main Street, Ansonia, Connecticut 06401 Item 2(a) NAME OF PERSON FILING: Rolf K. Liebergesell Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 25 Main Street, Ansonia, Connecticut 06401 Item 2(c) CITIZENSHIP: United States of America Item 2(d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $.01 Item 2(e) CUSIP NUMBER: 311-667-109 Item 3 Not Applicable Item 4 OWNERSHIP AS OF DECEMBER 31, 1996: (a) Amount Beneficially Owned 2,865,912 (b) Percent of Class 46.2% Page 4 of 5 (c) Number of Shares as to which such person has: (i) sole power to vote or direct the vote: 2,806,412* (ii) shared power to vote or direct the vote: 59,500** (iii) sole power to dispose of or to direct the disposition of: 2,806,412* (iv) shared power to dispose of or to direct the disposition of: 59,500** * Includes 240,000 shares subject to options under the Issuer's 1992 Stock Option Plan, as to which Mr. Liebergesell had a right to acquire beneficial ownership within 60 days of December 31, 1996, and excludes 82,000 shares held by Mr. Liebergesell's wife as trustee of a trust for the benefit of the adult children of Mr. Liebergesell as to which Mr. Liebergesell disclaims beneficial ownership. ** Represents shares held by a nonprofit corporation of which Mr. Liebergesell is a member of the Board of Directors. 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: A nonprofit corporation has the right to receive, or the power to direct the receipt of, dividends from, or the proceeds from the sale of 59,500 shares reported as beneficially owned by Mr. Liebergesell herein. 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: Not Applicable Page 5 of 5 Item 9 Notice of Dissolution of Group: Not Applicable Item 10 Certification: Not Applicable 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. February 12, 1997 /s/ Rolf K. Liebergesell - ----------------------------------- Signature: Rolf K. Liebergesell -----END PRIVACY-ENHANCED MESSAGE-----