-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, NHSK+Nnm3LAg6JO1AWRTfZZpVyDUiDCoQfUkHZ6Hi2uy924JNGMnYG4qc8lvEtFd OGwO8mTAtEmwX8+n1WHpMw== 0000916002-95-000007.txt : 19950505 0000916002-95-000007.hdr.sgml : 19950505 ACCESSION NUMBER: 0000916002-95-000007 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19950504 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MARK VII INC CENTRAL INDEX KEY: 0000795425 STANDARD INDUSTRIAL CLASSIFICATION: TRUCKING (NO LOCAL) [4213] IRS NUMBER: 431074964 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-37245 FILM NUMBER: 95534355 BUSINESS ADDRESS: STREET 1: 10100 NW EXECUTIVE HILLS BLVD STREET 2: STE 200 CITY: KANSAS CITY STATE: MO ZIP: 64153 BUSINESS PHONE: 8168910500 FORMER COMPANY: FORMER CONFORMED NAME: MNX INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: MNX TRUCKING DATE OF NAME CHANGE: 19870512 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CROUCH ROGER M CENTRAL INDEX KEY: 0000944705 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 3220 LANDS END LANE CITY: PORT TOWNSEND STATE: WA ZIP: 98368 BUSINESS PHONE: 3603795635 SC 13D/A 1 AMENDMENT NO. 5 TO SC 13D OF L. M. SEABERG SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 AMENDMENT NO. 5 MARK VII, INC. (Name of Issuer) Common Stock, $0.10 Par Value (Title of Class of Securities) 570414 10 2 (CUSIP Number) John H. Calvert Lathrop & Norquist, L.C. 2345 Grand Avenue, Suite 2600 Kansas City, Missouri 64108-2684 (816) 472-3220 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 19, 1995 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G 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 [ ]. Check the following box if a fee is being paid with the 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 five percent or less of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See rule 13d-1(a) for other parties to whom copies are to be sent. *The remainder of this cover page shall be filed 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 disclosures provided in a prior cover page. 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 (however, see the Notes). (Continued on following page(s)) Page 1 of 5 Pages CUSIP No. 570414 10 2 13D Page 2 of 5 Pages ________________________________________________________________ 1 NAME OF Mr. Crouch S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Roger M. Crouch S.S. No.: ###-##-#### _________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] _________________________________________________________________ 3 SEC USE ONLY _________________________________________________________________ 4 SOURCE OF FUNDS* N/A _________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] _________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA _________________________________________________________________ 7 SOLE VOTING POWER NUMBER OF 1,110,869 SHARES ___________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 130,000 EACH ___________________________________________ REPORTING 9 SOLE DISPOSITIVE POWER PERSON 1,110,869 WITH ___________________________________________ 10 SHARED DISPOSITIVE POWER 130,000 _________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH Mr. Crouch 1,240,869 _________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] Excludes non-qualified options to purchase 12,000 shares which become exercisable beginning 02/03/96. _________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.5% _________________________________________________________________ 14 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 3 of 5 pages SCHEDULE 13D for Roger M. Crouch Item 1. Security and Issuer. This statement relates to shares of the Common Stock of Mark VII, Inc. (the "Company"). The address of the principal executive offices of the Company is 10100 N. W. Executive Hills Boulevard, Suite 200, Kansas City, Missouri 64153. Item 2. Identity and Background. (a) Name of person filing: Roger M. Crouch (b) Business address: 3220 Lands End Lane, Port Townsend, Washington 98368 (c) Present principal occupation or employment: Director and Former Vice Chairman of the Board of Mark VII, Inc. (d) Criminal convictions: Mr. Crouch has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) during the last five years. (e) Certain civil proceedings. During the last five years Mr. Crouch has not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction which has resulted in a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activity subject to federal or state securities laws or a finding of any violation with respect to such laws. (f) Citizenship: U.S.A. Item 3. Source and Amount of Funds or Other Consideration. Not applicable. Item 4. Purpose of Transaction. This amendment reflects a transfer on April 19, 1995, of 76,774 shares of Mark VII Common Stock from the Rosalie Crouch Trust, with respect to which Mr. Crouch was Trustee as reported under Item 5 below. The transfers were effected pursuant to a dissolution of the trust. In addition, Mr. Crouch reports that Page 4 of 5 Pages he and the other persons and entities through which he derives his beneficial ownership, plan to effect a sale of the shares reported herein (other than shares subject to stock options) pursuant to a registered public offering publicly announced on or about April 21, 1995. Upon a closing of the sale Mr. Crouch intends to resign from the Board of Directors of the Company and continue to serve the Company on an as requested basis pursuant to an employment contract and non-compete agreement. Except as otherwise indicated above, the primary purpose of the beneficial ownership by Mr. Crouch of the Common Stock to which this statement relates is for investment purposes, provided, however, that Mr. Crouch intends to review continuously such ownership and may, depending on the Issuer's business and prospects and upon other factors (including, but not limited to, general economic and market conditions), at any time increase or decrease his holdings in transactions in the open market or otherwise. Except as otherwise described herein, Mr. Crouch does not have any current plans or proposals which relate to or would result in any action required to be disclosed pursuant to Item 4 of Schedule 13D. Item 5. Interest and Securities of the Issuer. (a) The number and percentage of shares of Mark VII, Inc. Common Stock, $0.10 par value beneficially owned by Mr. Crouch, based on 4,823,936 shares outstanding plus shares subject to exercisable stock options held by Mr. Crouch as of April 3, 1995, are as follows: Number Beneficially Owned: 1,240,869 Percent of Class: 25.5% (b) Number of shares as to which Mr. Crouch has: (i) Sole power to vote or direct the vote: 1,110,869 (ii) Shared power to vote or direct the vote: 130,000 (iii) Sole power to dispose or direct the disposition of: 1,110,869 (iv) Shared power to dispose or direct the disposition of: 130,000 The shares included in Item 5 above include: (1) An aggregate of 130,000 shares held by the Sugar Lakes Foundation. Mr. Crouch shares voting and dispositive power over the shares held by the Foundation with the Page 5 of 5 pages other trustees, who are Rosalie C. Sisson and Catherine Crouch, the wife of Mr. Crouch. (2) An aggregate of 100,000 shares held by the Catherine Fenner Crouch Charitable Remainder Unitrust I, with respect to which Mr. Crouch is the Trustee. Mr. Crouch has sole voting and dispositive power with respect to such shares. (3) An aggregate of 48,000 shares which are subject to exercisable stock options granted by the Company under its 1992 Non-Qualified Stock Option Plan. Mr. Crouch also has an obligation to sell 55,106 shares at $5.15 per share to an officer of a subsidiary of the Company pursuant to an option granted under a stock purchase agreement which expires on or about June 1, 1995. Mr. Crouch disclaims beneficial ownership in all of the shares held by the Sugar Lakes Foundation and the Catherine Fenner Crouch Charitable Remainder Unitrust I. (c) Transactions in Shares of the Common Stock Effected by Mr. Crouch since the most recent filing on Schedule 13D: On April 19, 1995, 76,744 shares were distributed by Mr. Crouch as Trustee of the Rosalie Crouch Trust to the beneficiaries of the Trust pursuant to a dissolution and termination of the same. A total of 75,744 of the shares were distributed to Rosalie C. Sisson, the adult daughter of Mr. Crouch and 1,000 shares were transferred to Rosalie C. Sisson as Custodian for Alexandra Catherine Sisson, the granddaughter of Mr. Crouch. Mr. Crouch does not have or share voting or dispositive power with respect to the distributed shares. (d) The power to direct the receipt of dividends from, or the proceeds from the sale of, shares owned by the Sugar Lakes Foundation is shared by Mr. Crouch with the two other trustees of such foundation. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None other than as reported under Items 4 and 5 above. Item 7. Material to be Filed as Exhibits. None. 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. 5-3-95 /s/ Roger M. Crouch Date: ________________ ______________________________ Roger M. Crouch -----END PRIVACY-ENHANCED MESSAGE-----