-----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, Q5zGK+mHKbat0VWm3g8EaZ0MOPB2O6OaP6s6iJ2uvKHCHJYP8BuQZtWHBPZCsRmO C5R7aJ2M2ISclXQWljumCw== 0000898430-98-000573.txt : 19980218 0000898430-98-000573.hdr.sgml : 19980218 ACCESSION NUMBER: 0000898430-98-000573 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980213 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PINKERTONS INC CENTRAL INDEX KEY: 0000078666 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-DETECTIVE, GUARD & ARMORED CAR SERVICES [7381] IRS NUMBER: 135318100 STATE OF INCORPORATION: DE FISCAL YEAR END: 1227 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-43265 FILM NUMBER: 98539240 BUSINESS ADDRESS: STREET 1: 15910 VENTURE BLVD STE 900 CITY: ENCINO STATE: CA ZIP: 91436-3095 BUSINESS PHONE: 8183808800 MAIL ADDRESS: STREET 1: 15910 VENTURA BLVD., SUITE 900 CITY: ENCINO STATE: CA ZIP: 91436-2810 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WATHEN THOMAS W CENTRAL INDEX KEY: 0000940178 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: PINKERTON'S INC 15910 VENTURA BLVD STREET 2: STE 900 CITY: ENCINO STATE: CA ZIP: 91436-2810 BUSINESS PHONE: 8183808800 SC 13G/A 1 AMENDMENT #7 TO SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 7)* PINKERTON'S, INC. ________________________________________ (NAME OF ISSUER) COMMON STOCK _______________________________________ (TITLE OF CLASS OF SECURITIES) 723429106 ______________________________________ (CUSIP NUMBER) * THE INFORMATION REQUIRED IN THE REMAINDER OF THIS COVER PAGE SHALL NOT BE DEEMED "FILED" FOR THE PURPOSE OF SECTION 18 OF THE SECURITIES EXCHANGE ACT OF 1934 (THE "ACT") OR OTHERWISE SUBJECT TO THE LIABILITIES OF THAT SECTION OF THE ACT BUT SHALL BE SUBJECT TO ALL OTHER PROVISIONS OF THE ACT. PAGE 1 OF 5 PAGES Pinkerton's, Inc. ("Issuer") Amendment No. 7 CUSIP No. 723429106 13G _______________________________________________________________________________ (1) NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Thomas W. Wathen _______________________________________________________________________________ (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) (b) X _______________________________________________________________________________ (3) SEC USE ONLY _______________________________________________________________________________ (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. _______________________________________________________________________________ : (5) SOLE VOTING POWER 3,757,010 shares (including 32,250 shares issuable upon exercise of stock options) NUMBER OF SHARES BENEFICIALLY _____________________________________________ OWNED BY EACH REPORTING PERSON : (6) SHARED VOTING POWER WITH Not applicable _____________________________________________ : (7) SOLE DISPOSITIVE POWER 3,757,010 shares (including 32,250 shares issuable upon exercise of stock options) _____________________________________________ : (8) SHARED DISPOSITIVE POWER Not applicable _______________________________________________________________________________ (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,757,010 shares (including 32,250 shares issuable upon exercise of stock options) _______________________________________________________________________________ (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES N/A _______________________________________________________________________________ (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 29.8% _______________________________________________________________________________ (12) TYPE OF REPORTING PERSON IN Page 2 of 5 Pages Pinkerton's, Inc. ("Issuer") Amendment No. 7 CUSIP No. 723429106 13G ________________________________________________________________________________ Item 1. (a) Name of Issuer: Pinkerton's, Inc. ("Issuer") (b) Address of Issuer's Principal Executive Offices: 15910 Ventura Blvd., Suite 900 Encino, CA 91436-2810 Item 2. (a) Name of Person Filing: Thomas W. Wathen. Mr. Wathen is the Chairman of the Board of the Issuer. (b) Address of Principal Business Office or, if None, Residence: c/o Pinkerton's, Inc. 15910 Ventura Blvd., Suite 900 Encino, CA 91436-2810 (c) Citizenship: U.S.A. (d) Title of Class of Securities: Common Stock ("Securities") (e) CUSIP Number: 723429106 Item 3. Not Applicable. Item 4. Ownership. (a) Amount Beneficially Owned: As of December 31, 1997, Mr. Wathen beneficially owned 3,757,010 shares of the Issuer's common stock. Of the foregoing shares, 21,723 shares are held of record by the Thomas W. Wathen Charitable Remainder Unitrust dated September 20, 1993, an irrevocable trust for which the reporting person is the settlor, trustee and 6% income beneficiary; 3,681,415 shares held of record by the Thomas W. Wathen Trust dated September 1, 1988, a revocable trust for which Mr. Wathen is the settlor, trustee and beneficiary; 21,622 shares in the Thomas W. Wathen Foundation, an irrevocable trust for which the reporting person is the settlor and trustee; and 32,250 shares issuable upon the exercise of stock options which are exercisable within 60 days. (b) Percent of Class: As of December 31, 1997, Mr. Wathen beneficially owned 29.8% of the Issuer's Outstanding Common Stock. Page 3 of 5 Pages Pinkerton's, Inc. ("Issuer") Amendment No. 7 CUSIP No. 723429106 13G ________________________________________________________________________________ (c) Number of shares as to which such person has: (i) sole power to vote or direct the vote: 3,757,010 shares (including 32,500 shares issuable upon exercise of stock options). (ii) shared power to vote or direct the vote: None. (iii) sole power to dispose or to direct the disposition of: 3,757,010 shares (including 32,500 shares issuable upon exercise of stock options). (iv) shared power to vote to dispose or to direct the disposition of: None. 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 or 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 4 of 5 Pages Pinkerton's, Inc. ("Issuer") Amendment No. 7 CUSIP No. 723429106 13G ________________________________________________________________________________ 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 purpose or effect. SIGNATURE 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. Dated: February 16, 1998 Thomas W. Wathen By: /s/ James P. McCloskey Attorney-in-Fact ________________________ Thomas W. Wathen By: James P. McCloskey Attorney-in-Fact* * Power of Attorney has been previously filed. Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----