-----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, AplsH+8roexIE62EOtj1kJY2BO73lwaV2xOrYQbYV29CR0Zd9pUZ+1j0Cv4ZsLde x2b4dkmfz+d4E+oXbDY52w== 0001044966-98-000015.txt : 19981218 0001044966-98-000015.hdr.sgml : 19981218 ACCESSION NUMBER: 0001044966-98-000015 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19981217 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CALTON INC CENTRAL INDEX KEY: 0000717216 STANDARD INDUSTRIAL CLASSIFICATION: OPERATIVE BUILDERS [1531] IRS NUMBER: 222433361 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-35449 FILM NUMBER: 98771396 BUSINESS ADDRESS: STREET 1: 500 CRAIG RD CITY: MANALAPAN STATE: NJ ZIP: 07726-8790 BUSINESS PHONE: 9087801800 MAIL ADDRESS: STREET 1: 500 CRAIG RD CITY: MANALAPAN STATE: NJ ZIP: 07726-8790 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JAINDL FREDERICK J CENTRAL INDEX KEY: 0001044966 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 0 STREET 2: 3150 COFFEETOWN RD CITY: OREFIELD STATE: PA ZIP: 18069 BUSINESS PHONE: 6103953333 MAIL ADDRESS: STREET 2: 3150 COFFEETOWN RD CITY: OREFIELD STATE: PA ZIP: 18069 SC 13D 1 \\ffny03\docs\docs\barshla\normal\0247092.02 U.S. SECURITIES & EXCHANGE COMMISSION Washington, D. C. 20549 SCHEDULE 13D - AMENDMENT #9 Under the Securities Exchange Act of 1934 Calton, Inc. (Name of Issuer) Common Stock (Title of Class Securities) 131380206 (CUSIP Number) Frederick J. Jaindl et al Jaindl Farms Atten. Mark W. Jaindl 3150 Coffeetown Road, Orefield, PA 18069 (610) 395-3333 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 17, 1998 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13D to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d -1(b) (3) or (4), check the following box ( x ). Check the following box if a fee is being paid with this statement ( ). (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of less than five percent of such class. See Rule 13d-7.) The information required on 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. Cusip No. 131380206 1) Names of Persons S.S. or I.R.S. Identification Nos. of Above Persons: Frederick John Jaindl - SSN ###-##-#### ____________________________________________________________ _________________ 2) Check the Appropriate Box if a Member of a Group (See Instruction): __________ (a)_______ (b) X ____________________________________________________________ _________________ 3) SEC Use Only______ ____________________________________________________________ _________________ 4) Source of Funds (See Instructions) PF00 ____________________________________________________________ _________________ 5) Check if Disclosure of Legal Proceedings is Required Pursuant to items 2 (d) or (e): N/A ____________________________________________________________ _________________ 6) Citizenship or Place of Organization: US ____________________________________________________________ __________________ 7) Sole Voting Power: 2,571,750 ____________________________________________________________ __________________ 8) Shared Voting Power: ____________________________________________________________ ________________ 9) Sole Dispositive Power: 2,571,750 ____________________________________________________________ ________________ 10) Shared Dispositive Power: ____________________________________________________________ ________________ ____________________________________________________________ ______________ 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 2,571,750 shares ____________________________________________________________ ________________ 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares: Yes No XX N/A ____________________________________________________________ _________________ 13) Percent of Class Represented by Amount in Row (11): 9.66% ____________________________________________________________ _________________ 14) Type of Reporting Person (See Instructions): INN ____________________________________________________________ _________________ -2- Cusip No. 131380206 1) Names of Persons S.S. or I.R.S. Identification Nos. of Above Persons: Mark Wilson Jaindl - SSN ###-##-#### ____________________________________________________________ _________________ 2) Check the Appropriate Box if a Member of a Group (See Instruction): __________ (a)_______ (b) X ____________________________________________________________ _________________ 3) SEC Use Only___________ ____________________________________________________________ _________________ 4) Source of Funds: PF: 00 ____________________________________________________________ _________________ 5) Check if Disclosure of Legal Proceedings is Required Pursuant to items 2 (d) or (e): Yes No XX N/A ____________________________________________________________ _________________ 6) Citizenship or Place of Organization: US U.S. ____________________________________________________________ _________________ 7) Sole Voting Power: 419,400 ____________________________________________________________ __________________ 8) Shared Voting Power: ____________________________________________________________ __________________ 9) Sole Dispositive Power: 419,400 ____________________________________________________________ __________________ 10) Shared Dispositive Power: _________________________________________ ____________________________________________________________ _________________ 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 419,400 shares ____________________________________________________________ __________________ 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares Yes No XX N/A ____________________________________________________________ _________________ 13) Percent of Class Represented by Amount in Row (11) 1.57% ____________________________________________________________ ________________ 14) Type of Reporting Person (See Instructions): INN ____________________________________________________________ _________________ -3- This Amendment No. 9 amends and supplements the Statement on Schedule 13D, as amended and supplemented to date (the "Schedule 13D") relating to the shares of common stock, par value $.01 per share (the "Shares"), of Calton, Inc. a New Jersey corporation having its principal business offices at 500 Craig Road, Manalapan, NJ 07726-8790 (the "Company"), previously filed by Frederick John Jaindl and Mark Wilson Jaindl (collectively, the "Reporting Persons"). Except as specifically provided herein, this Amendment does not modify any of the information previously reported on the Schedule 13D. Item 4 is hereby amended to add the following information: On December 14, 1998, Mark Wilson Jaindl reviewed a list of record holders of Shares at the Company's offices. In connection with the nomination of Mark Wilson Jaindl for election to the Company's Board of Directors, the Reporting Persons are considering, and if Mark Wilson Jaindl is elected to the Company's Board of Directors, he may consider in the exercise of his fiduciary duties, various alternatives that may relate to or result in: (a) the acquisition by any person of additional securities of the Company; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Company; (c) a sale or transfer of a material amount of the assets of the Company; (d) a change in the Board of Directors or management of the Company; (e) a material change in the present capitalization or dividend policy of the Company; (f) other material changes in the Company's business or corporate structure; (g) changes in the Company's Certificate of Association or By-Laws or other actions which may impede or foster the acquisition of control of the Company by any person; (h) a class of securities of the Company being delisted from a national securities exchange; (i) a class of equity securities of the Company becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or (j) actions similar to those enumerated above (each of the foregoing are collectively hereinafter referred to as the "Enumerated Actions"). Although, except as otherwise disclosed in the Schedule 13D or this Amendment, the Reporting Persons have no plans or proposals to engage in any of the Enumerated Actions, the Reporting Persons may consider one or more of such Enumerated Actions in the future depending upon factors including, but not limited to, the market for Shares, the Company's prospects, alternative investment opportunities, general economic, business and monetary conditions, and other factors deemed relevant by the Reporting Persons from time to time. Mark Wilson Jaindl has had discussions with members of the Company's management regarding the nomination of Mark Wilson Jaindl to the Company's Board of Directors and other matters that may pertain to Enumerated Actions. Mark Wilson Jaindl may or may not hold further discussions with members of the Company's management in the future. Item 5 is hereby amended to add the following information: (a) Frederick John Jaindl and Mark Wilson Jaindl own 2,571,750 and 419,400 Shares respectively. These Shares constitute 9.66% and 1.57% respectively of the 26,630,823 Shares outstanding as of November 2, 1998. (b) Frederick John Jaindl and Mark Wilson Jaindl have the sole voting and dispositive power of 2,571,750 and 419,400 Shares held by each of them respectively . -4- (c) The following transactions were effected by or on behalf of Frederick John Jaindl since the previous filing of an amendment to the Schedule 13D: n Date Shares Price 11/24/98 4,600 $1.0625 Open Market 11/25/98 2,500 $1.0625 Open Market 11/25/98 23,300 $1.0625 Open Market 12/01/98 50,000 $1.0625 Open Market 12/02/98 29,300 $1.0625 Open Market 12/03/98 27,200 $1.0625 Open Market 12/04/98 15,700 $1.0625 Open Market 12/07/98 1,100 $1.0625 Open Market 12/10/98 13,300 $1.0625 Open Market 12/10/98 50,000 $1.125 Open Market 12/16/98 16,000 $1.0625 Open Market 12/17/98 18,100 $1.0625 Open Market 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. December 17, 1998 /s/ Mark Wilson Jaindl ---------------------------- Mark W. Jaindl /s/ Frederick John Jaindl ------------------------------ Frederick John Jaindl -5- -----END PRIVACY-ENHANCED MESSAGE-----