-----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, WunOdCNGrhzVFgyR4VsGNxiVs3LSUAM5h31Yn+llU3A4ZxN3oFlPVzdycMlVft++ lxMKtCoj/8MuZ6CfKuuqhA== 0000021847-97-000024.txt : 19970221 0000021847-97-000024.hdr.sgml : 19970221 ACCESSION NUMBER: 0000021847-97-000024 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970211 SROS: NYSE GROUP MEMBERS: COLONIAL MANAGEMENT ASSOCIATES INC GROUP MEMBERS: THE COLONIAL GROUP, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPALACHIAN POWER CO CENTRAL INDEX KEY: 0000006879 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 540124790 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-08339 FILM NUMBER: 97524643 BUSINESS ADDRESS: STREET 1: 40 FRANKLIN RD SW CITY: ROANOKE STATE: VA ZIP: 24011 BUSINESS PHONE: 7039852300 MAIL ADDRESS: STREET 1: 1 RIVERSIDE PLAZA CITY: COLUMBUS STATE: OH ZIP: 43215 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: COLONIAL MANAGEMENT ASSOCIATES INC CENTRAL INDEX KEY: 0000732823 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 617-426-3750 MAIL ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Appalachian Power Company (Name of Issuer) 7.40% Cumulative Preferred (Title of Class of Securities) 037735404 (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 6 Pages CUSIP No. 037735404 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons The Colonial Group, Inc.; 04-2934627 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] 3) SEC Use Only 4) Citizenship or Place of Organization Commonwealth of Massachusetts Number of Shares Beneficially Owned as of December 31, 1996, by Each Reporting Person With 5) Sole Voting Power: -- 6) Shared Voting Power: 0 7) Sole Dispositive Power: -- 8) Shared Dispositive Power: 0 9) Aggregate Amount Beneficially Owned by Each Reporting Person 0 10) Check if the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) [ ] 11) Percent of Class Represented by Amount in Row 9 0% 12) Type of Reporting Person (See Instructions) HC Page 2 of 6 Pages CUSIP No. 037735404 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Colonial Management Associates, Inc.; 04-2271697 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] 3) SEC Use Only 4) Citizenship or Place of Organization Commonwealth of Massachusetts Number of Shares Beneficially Owned as of December 31, 1996, by Each Reporting Person With 5) Sole Voting Power: -- 6) Shared Voting Power: 0 7) Sole Dispositive Power: -- 8) Shared Dispositive Power: 0 9) Aggregate Amount Beneficially Owned by Each Reporting Person 0 10) Check if the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) [ ] 11) Percent of Class Represented by Amount in Row 9 0% 12) Type of Reporting Person (See Instructions) IA Page 3 of 6 Pages Item 1(a) Name of Issuer: Appalachian Power Company Item 1(b) Address of Issuer's Principal Executive Offices: 40 Franklin Road, SW Roanoke, VA 24011 Item 2(a) Name of Person Filing: See Item 1) of attached cover sheets Item 2(b) Address of Principal Business Office or, if none, Residence: One Financial Center Boston, Massachusetts 02111 Item 2(c) Citizenship: See Item 4) of attached cover sheets Item 2(d) Title of Class of Securities: 7.40% Cumulative Preferred Item 2(e) CUSIP Number: 037735404 Item 3 Type of Reporting Person: (e) [ X ] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (g) [ X ] Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G) (Note See Item 7) Item 4 Ownership: (a) Amount Beneficially Owned: 0 shares (b) Percent of Class: 0% (c)(i) sole power to voter to direct the vote: -- (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: -- (iv) shared power to dispose or to direct the disposition of: 0 Item 5 Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X] Item 6 Ownership of More Than Five Percent on Behalf of Another Person N/A Page 4 of 6 Pages Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Colonial Management Associates, Inc. One Financial Center Boston, Massachusetts 02111 04-2271697; IA Item 8 Identification and Classification of Members of the Group N/A Item 9 Notice of Dissolution of Group N/A Item 10 Certification By signing below we certify that, to the best of our knowledge and belief, the securities referred to above were 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 purpose for effect. Signature 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. Date: February 11, 1997 THE COLONIAL GROUP, INC. COLONIAL MANAGEMENT ASSOCIATES, INC. ARTHUR O. STERN Signature Arthur O. Stern, Executive Vice President Name/Title Page 5 of 6 Pages EXHIBIT A JOINT FILING AGREEMENT In accordance with Rule 13d-1(f)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each other of the attached statement on Schedule 13G and to all amendments to such statement and that such statement and all amendments to such statement is made on behalf of each of them. IN WITNESS WHEREOF, the undersigned hereby execute this agreement on February 11, 1997. THE COLONIAL GROUP, INC. COLONIAL MANAGEMENT ASSOCIATES, INC. By: ARTHUR O. STERN Arthur O. Stern Executive Vice President Page 6 of 6 Pages -----END PRIVACY-ENHANCED MESSAGE-----