-----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, DO17Q3zxknDnT/An1GdzVbjS1YQJkoydYWbNX/wE7v/N1lupNRTKwUkg8KfDVdai Z4wIfa6IeZhR50O1zYsilw== 0000900795-96-000001.txt : 19960521 0000900795-96-000001.hdr.sgml : 19960521 ACCESSION NUMBER: 0000900795-96-000001 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960202 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTEK INC CENTRAL INDEX KEY: 0000072423 STANDARD INDUSTRIAL CLASSIFICATION: 3444 IRS NUMBER: 050314991 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-30364 FILM NUMBER: 96510939 BUSINESS ADDRESS: STREET 1: 50 KENNEDY PLZ CITY: PROVIDENCE STATE: RI ZIP: 02903 BUSINESS PHONE: 4017511600 MAIL ADDRESS: STREET 1: 50 KENNEDY PLAZA CITY: PROVIDENCE STATE: RI ZIP: 02903 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HARRIS RICHARD J CENTRAL INDEX KEY: 0000900795 STANDARD INDUSTRIAL CLASSIFICATION: 0000 STATE OF INCORPORATION: RI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O NORTEK INC 50 KENNEDY PLAZA CITY: PROVIDENCE STATE: RI ZIP: 02903 BUSINESS PHONE: 4017511600 SC 13G 1 SCHEDULE 13G Conformed Copy Page 3 of 3 Pages TD/Docs/Sch13G96-rjh SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under The Securities Exchange Act Of 1934 Amendment No.: 9 Date: December 31, 1995 Item 1(a) Name of Issuer: Nortek, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 50 Kennedy Plaza, Providence, Rhode Island 02903 Item 2(a) Name of Person Filing: Richard J. Harris individually and in connection with defined benefit plans of the Issuer. Item 2(b) Address of Principal Business Office or, if none, Residence: c/o Nortek, Inc., 50 Kennedy Plaza, Providence, RI 02903 Item 2(c) Citizenship: United States of America Item 2(d) Title of Class of Securities: Special Common Stock, $1 par value Item 2(e) CUSIP Number: 656559 20 0 Item 3. Type of Person: Not applicable. Item 4. (a) Amount Beneficially owned: 3,843 individually, and 46,263 held by certain defined benefit plans of the Issuer as to which beneficial ownership is disclaimed. (Under the provisions of the trust agreement governing the defined benefit plans, the Issuer may instruct the trustee regarding the acquisition and disposition of plan assets and the voting of securities held by the trust.) (b) Percent of Class: 10.1% including 0.8% individually, and 9.3% held by defined benefit plans of the Issuer (as to which beneficial ownership is disclaimed). (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 3,843. (ii) shared power to vote or direct the vote 46,263 (beneficial ownership disclaimed). (iii) sole power to dispose or to direct the disposition of 3,843. (iv) shared power to dispose or to direct the disposition of 46,263 (beneficial ownership disclaimed). 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. The following certification shall be included if the statement is filed pursuant to Rule 13d-1(b): 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; provided that this certification is limited to shares held by the defined benefit plans (as to which beneficial ownership is disclaimed). The filing of this statement shall not be construed as an admission that the undersigned is, for the purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of the securities held by the defined benefit plans of the Issuer and covered by this statement. 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 2, 1996 /s/Richard J. Harris Signature Richard J. Harris Name/Title -----END PRIVACY-ENHANCED MESSAGE-----