-----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, O0gjEP4E+Xn9pEwydbPn32L13++xYWsA/05OrFXLDdT5NtlzfzhavDyAWxQjE69T wri1t5mgfebKWgah1MFJ9w== 0000913355-97-000018.txt : 19970222 0000913355-97-000018.hdr.sgml : 19970222 ACCESSION NUMBER: 0000913355-97-000018 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: 97533300 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. 3)* 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 NUMBER OF 5 SOLE VOTING POWER 2,909,612 * * Includes 200,000 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, 1995 and excludes 54,000 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. SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 EACH REPORTING PERSON WITH 7 SOLE DISPOSITIVE POWER 2,909,612 * * Includes 200,000 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, 1995 and excludes 54,000 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 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,909,612 * * Includes 200,000 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, 1995 and excludes 54,000 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. 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 47.0% 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, 1995: (a) Amount Beneficially Owned 2,909,612 * (b) Percent of Class 47.0% Page 4 of 5 (c) Number of Shares as to which such person has: (i) sole power to vote or direct the vote: 2,909,612 * (ii) shared power to vote or direct the vote: -0- (iii) sole power to dispose of or to direct the disposition of: 2,909,612 * (iv) shared power to dispose of or to direct the disposition of: -0- * Includes 200,000 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, 1995 and excludes 54,000 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. 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: Not Applicable Item 8 Identification and Classification of Members of the Group: Not Applicable Item 9 Notice of Dissolution of Group: Not Applicable Item 10 Certification: Not Applicable Page 5 of 5 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-----