-----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, ANboR96fRZG2mWGaSwWiNHp7ghiPMue8ICjRyh2opjJwfP3KU4Id/pVDeCldz4pL ezMU2GpKeS8eaE3Z35fH5w== /in/edgar/work/20000530/0000912057-00-026723/0000912057-00-026723.txt : 20000919 0000912057-00-026723.hdr.sgml : 20000919 ACCESSION NUMBER: 0000912057-00-026723 CONFORMED SUBMISSION TYPE: 10-K405/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000131 FILED AS OF DATE: 20000530 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MESABI TRUST CENTRAL INDEX KEY: 0000065172 STANDARD INDUSTRIAL CLASSIFICATION: [6795 ] IRS NUMBER: 136022277 STATE OF INCORPORATION: NY FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 10-K405/A SEC ACT: SEC FILE NUMBER: 001-04488 FILM NUMBER: 646130 BUSINESS ADDRESS: STREET 1: P O BOX 318 CHURCH ST STATION STREET 2: C/O BANKERS TRUST CO CORP TRUST CITY: NEW YORK STATE: NY ZIP: 10008-0318 BUSINESS PHONE: 2122506696 MAIL ADDRESS: STREET 1: C/O BANKERS TRUST COMPANY, CORPORATE STREET 2: P.O. BOX 318 CHURCH STREET STATION CITY: NEW YORK STATE: NY ZIP: 10008-0318 10-K405/A 1 a10-k405a.txt 10-K405/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: Commission File No.: JANUARY 31, 2000 1-4488 -------------------- MESABI TRUST (Exact name of registrant as specified in its charter) NEW YORK 13-6022277 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) C/O BANKERS TRUST COMPANY CORPORATE TRUST AND AGENCY GROUP P.O. BOX 318 CHURCH STREET STATION NEW YORK, NEW YORK 10008-0318 (Address of principal executive offices) Registrant's telephone number, including area code: (212) 250-6519 Securities registered pursuant to Section 12(b) of the Act: UNITS OF BENEFICIAL INTEREST IN MESABI TRUST Securities registered pursuant to Section 12(g) of the Act: NONE Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. YES /X/ NO / / Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of Registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. /X/ As of April 20, 2000, the aggregate market value of the Units of Beneficial Interest held by non-affiliates of the registrant, based on the closing price as reported on the New York Stock Exchange, aggregated approximately $436,613,996*. As of April 20, 2000, 13,120,010 Units of Beneficial Interest were outstanding. - ----------------------------- * Includes approximately $42,469 representing the market value, as of April 20, 2000, of 15,100 Units the beneficial ownership of which is disclaimed by affiliates (see Item 12 herein). EXPLANATORY NOTE: This Form 10-K/A for the year ended January 31, 2000 is to disclose information in Item 12 concerning the ownership of common stock of H&R Block Inc. by Bankers Trust Company, the corporate trustee of Mesabi Trust. ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND TRUSTEES. Based on information obtained from Mesabi Trust's records and a review of statements filed with the SEC pursuant to Section 13(d)-102 of the Securities Exchange Act of 1934 through April 3, 2000, no person or entity owns beneficially more than 5% of the Trust's Units outstanding. The table below sets forth information as to the Units of Beneficial Interest in Mesabi Trust beneficially owned as of March 15, 2000 by the Trustees individually and as a group.
Amount of Beneficial Percent of Name Ownership of Units Class ---- ------------------ ----- Bankers Trust Company(1) 3,000 Less than 1% David J. Hoffman(2) 38,100 Less than 1% Richard G. Lareau 15,000 Less than 1% Ira A. Marshall, Jr.(3) 51,000 Less than 1% Norman F. Sprague III 12,700 Less than 1% All Trustees as a group 116,800 Less than 1%
- ------------------- (1) Bankers Trust Company is an indirect subsidiary of Deutsche Bank New York, which is the actual record holder of the Units. In addition to the Units indicated above, Bankers Trust Company holds, on behalf of various customers, Units in its Fiduciary Department in so-called "directed" accounts. Bankers Trust Company has no voting or investment power over, and thus no beneficial interest in, such Units. Bankers Trust Company, along with a subsidiary of Deutsche Bank New York, also holds common stock of H&R Block Inc. As of December 31, 1999, Bankers Trust Company held approximately 1.26% of the outstanding common stock of H&R Block Inc. in fiduciary accounts. As of the same date, Deutsche Bank Securities, a subsidiary of Deutsche Bank New York, held approximately 0.1% of the outstanding common stock of H&R Block Inc. in both proprietary accounts and accounts in which it acts with investment discretion. In 1999, H&R Block Inc. became the parent company of McGladrey & Pullen, LLP, which has served as the independent auditor of Mesabi Trust since 1991. (2) Includes 15,100 Units owned by Mr. Hoffman's wife, over which Mr. Hoffman does not have any investment or voting power and as to which Mr. Hoffman disclaims any beneficial ownership. (3) These Units consist of (a) 50,000 Units owned indirectly by Mr. Marshall through a family trust of which Mr. Marshall is the sole trustee and (b) 1,000 Units over which Mr. Marshall has joint voting and investment power. SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. Dated: May 18, 2000 MESABI TRUST By: Bankers Trust Company Corporate Trustee By: /s/ Daniel Chipko ----------------------------------------- Daniel Chipko Associate Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated. /s/ Daniel Chipko May 18, 2000 - -------------------------------------------- Daniel Chipko Associate Bankers Trust Company /s/ David J. Hoffman May 18, 2000 - -------------------------------------------- David J. Hoffman Individual Trustee /s/ Richard G. Lareau May 18, 2000 - -------------------------------------------- Richard G. Lareau Individual Trustee /s/ Ira A. Marshall, Jr. May 18, 2000 - -------------------------------------------- Ira A. Marshall, Jr. Individual Trustee /s/ Norman F. Sprague III May 18, 2000 - -------------------------------------------- Norman F. Sprague III Individual Trustee -----END PRIVACY-ENHANCED MESSAGE-----