-----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, VbUe1D7FpJeMUG8kZO+NGniAHJaEXKnhjPL/agX0aYMwI3Uts1pR+GIYcTVDyO4P DdxaPboErUdsJ3yHInXzvA== 0000950114-97-000066.txt : 19970222 0000950114-97-000066.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950114-97-000066 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GREEN A P INDUSTRIES INC CENTRAL INDEX KEY: 0000826619 STANDARD INDUSTRIAL CLASSIFICATION: STRUCTURAL CLAY PRODUCTS [3250] IRS NUMBER: 430899374 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39125 FILM NUMBER: 97535569 BUSINESS ADDRESS: STREET 1: GREEN BLVD CITY: MEXICO STATE: MO ZIP: 65265 BUSINESS PHONE: 3144733626 FORMER COMPANY: FORMER CONFORMED NAME: A P GREEN INDUSTRIES INC DATE OF NAME CHANGE: 19900619 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MERCANTILE BANCORPORATION INC CENTRAL INDEX KEY: 0000064907 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 430951744 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: P O BOX 524 STREET 2: P O BOX 524 CITY: ST LOUIS STATE: MO ZIP: 63166-0524 BUSINESS PHONE: 3144252525 MAIL ADDRESS: STREET 1: P O BOX 524 CITY: ST LOUIS STATE: MO ZIP: 63166-0524 FORMER COMPANY: FORMER CONFORMED NAME: MERCANTILE TRUST CO DATE OF NAME CHANGE: 19720229 SC 13G/A 1 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment # 5 A. P. Green Industries, Inc. - --------------------------------------------------------------- (Name of Issuer) Common Stock, $1.00 Par Value - --------------------------------------------------------------- (Title of Class of Securities) 393059100 - --------------------------------------------------------------- CUSIP Number Check the following box if a fee is being paid with this statement. / / CUSIP NO. 393059100 1) Names of Reporting Persons A. P. Green Industries, Inc. 401(k) S.S. or I.R.S. Identifica- Plan - Stock Fund Trust tion Nos. of above Persons 43-0899374 2) Check the appropriate Box if a member of a group (a) (b) X 3) SEC Use Only 4) Citizenship or Place of Organization Missouri (5) Sole Voting Power 0 Number Of Shares Beneficially (6) Shared Voting Power 786,247 Owned by Each Reporting (7) Sole Dispositive Power 786,247 Person With (8) Shared Dispositive Power 0 9) Aggregate Amount Beneficially Owned by Each Reporting Person 786,247 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares 11) Percent of Class Represented by Amount in Row 9 8.8% 12) Type of Reporting Person E. P. Page 1 of 4 2 [FN] The filing of this Statement on Schedule 13G by A. P. Green Industries, Inc. 401(k) Plan - Stock Fund Trust (the "Trust") does not constitute, and should not be construed as, an admission that either the Trust or Mercantile Bank National Association ("MBNA"), trustee of the Trust (the "Trustee"), beneficially owns any securities covered by this statement or is required to file this Statement. In this connection, the Trust and the Trustee disclaim beneficial ownership of the securities covered by this Statement. Item 1(a) Name of Issuer: A. P. Green Industries, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: Green Boulevard Mexico, Mo 65265 Item 2(a) Name of Person Filing: This filing is made by MBNA, Trustee, on behalf of the A. P. Green Industries, Inc. 401(k) Plan - Stock Fund Trust. Item 2(b) Address of Principal Business Offices or, if none, Residence: #1 Mercantile Center St. Louis, Missouri 63101 Item 2(c) Citizenship The Trustee, MBNA, is a national bank, organized under the laws of the United States, with its principal office located in the State of Missouri. The A. P. Green Industries, Inc. 401(k) Plan - Stock Fund Trust is a trust organized under the laws of the State of Missouri. Item 2(d) Title of Class of Securities: A. P. Green Industries, Inc., Common Stock, $1.00 Par Value Per Share Item 2(e) CUSIP Number: 393059100 Item 3. If this Statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in section 3(a) (19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e) [ ] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) [x] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see 240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with 240.13d-1(b)(ii)(G) (h) [ ] Group, in accordance with 240.13d-1(b)(1)(ii)(H) Page 2 of 4 3 Item 4. Ownership. (a)Amount Beneficially Owned: 786,247 (b)Percent of Class: 8.8% (c)Number of shares as to which such person has: (i) sole power to vote or to direct the vote 0 (ii) shared power to vote or to direct the vote 786,247 (iii) sole power to dispose or to direct the disposition of 786,247 (iv) shared power to dispose or to direct the disposition of 0 - ------------------- Participants in the A. P. Green Industries, Inc. 401(k) Plan - Stock Fund Trust have the right to direct the Trustee in the voting of Common Stock allocated to their accounts in the said Trust on all matters required to be submitted to a vote of shareholders. If no directions are received as to voting of allocated shares, the Trustee votes such shares in the same proportion as the allocated shares for which the Trustee receives directions. The unallocated shares of Common Stock also are voted by the Trustee in the same proportion as the allocated shares for which the Trustee receives directions from participants. 786,247 shares of Common Stock are held by MBNA in its capacity as Trustee of A. P. Green Industries, Inc. 401(k) Plan - Stock Fund Trust. A separate filing is being made by MBNA's parent, Mercantile Bancorporation Inc., in which it discloses the shares held by MBNA as Trustee as reported herein, along with its holdings of additional shares of the Issuer's common stock as trustee of various other trusts.
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. Subject to the terms of the Trust and the related plan, participants are entitled to receive certain distributions of assets held by the Trust. Such distributions may include dividends in or proceeds from the sale of the shares of Common Stock reflected in this Schedule 13G. 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 Page 3 of 4 4 Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, 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. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth on this statement is true, complete and correct. Dated: 2/12/97 Mercantile Bank N.A. as trustee for the A. P. Green Industries Inc. 401(k) Plan - Stock Fund Trust By: /s/ Morris L. Bond - ------------------------------------- Morris L. Bond, Senior Vice President Page 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----