-----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, Qg2Oglanf/lgeAP6e4TE/NEt+GSWpzYIZCgzh3JDFF4DuMR8Y1VGmWsxZ72FFkNn KLLlWB2itiLbiocXIhv5Fg== 0000950144-99-001669.txt : 19990215 0000950144-99-001669.hdr.sgml : 19990215 ACCESSION NUMBER: 0000950144-99-001669 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990212 GROUP MEMBERS: ALADDIN PARTNERS LP GROUP MEMBERS: ASL MANAGEMENT CORPORATION GROUP MEMBERS: BARRY L HOFFMAN GROUP MEMBERS: JEFFREY LORBERBAUM GROUP MEMBERS: LORBERBAUM ALAN S GROUP MEMBERS: MARK LORBERBAUM GROUP MEMBERS: S H SHARPE GROUP MEMBERS: SHIRLEY LORBERBAUM GROUP MEMBERS: SUZANNE L HELEN GROUP MEMBERS: THE ALAN S LORBERBAUM FAMILY FOUNDATION GROUP MEMBERS: THE BRIAN LORBERBAUM ACCUMULATION TRUST GROUP MEMBERS: THE JAN ERIK HELEN ACCUMULATION TRUST GROUP MEMBERS: THE JEFFREY LORBERBAUM LIFE TRUST GROUP MEMBERS: THE KATHERINE N HELEN ACCUMULATION TRUST GROUP MEMBERS: THE LAUREN A LORBERBAUM ACCUMULATION TRUST GROUP MEMBERS: THE MARK LORBERBAUM LIFE TRUST GROUP MEMBERS: THE SUZANNE L HELEN LIFE TRUST SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MOHAWK INDUSTRIES INC CENTRAL INDEX KEY: 0000851968 STANDARD INDUSTRIAL CLASSIFICATION: CARPETS AND RUGS [2273] IRS NUMBER: 521604305 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-43681 FILM NUMBER: 99538151 BUSINESS ADDRESS: STREET 1: 160 S INDUSTRIAL BLVD STREET 2: PO BOX 12069 CITY: CALHOUN STATE: GA ZIP: 30701 BUSINESS PHONE: 7066297721 MAIL ADDRESS: STREET 1: P O BOX 12069 CITY: CALHOUN STATE: GA ZIP: 30703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LORBERBAUM ALAN S CENTRAL INDEX KEY: 0001017260 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O ALADDIN MILLS STREET 2: 2001 ANTIOCH ROAD CITY: DALTON STATE: GA ZIP: 30721 BUSINESS PHONE: 7062771100 SC 13D/A 1 MOHAWK INDUSTRIES INC 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13D-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13D-1(A) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(A) (AMENDMENT NO. 4)* MOHAWK INDUSTRIES, INC. ----------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE --------------------------------------- (Title of Class of Securities) 60819010 -------- (CUSIP Number) MR. S.H. SHARPE EXECUTIVE VICE PRESIDENT ALADDIN MILLS 2001 ANTIOCH ROAD DALTON, GEORGIA 30721 (706) 277-1100 -------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) FEBRUARY 25, 1998 ----------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box |_|. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. * 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 disclosure 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 (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 (however, see the Notes). 2 CUSIP NO. 60819010 Page 2 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON Alan S. Lorberbaum 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 3,892,979 BENEFICIALLY OWNED 8. SHARED VOTING POWER 9,900,000 BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 3,892,979 PERSON WITH 10. SHARED DISPOSITIVE POWER 9,900,000 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 13,792,979 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 26.3% 14. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 CUSIP NO. 60819010 Page 3 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON Shirley Lorberbaum 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 0 BENEFICIALLY OWNED 8. SHARED VOTING POWER 9,900,000 BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 0 PERSON WITH 10. SHARED DISPOSITIVE POWER 9,900,000 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9,900,000 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 18.9% 14. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! 4 CUSIP NO. 60819010 Page 4 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON Jeffrey Lorberbaum 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 665,302 BENEFICIALLY OWNED 8. SHARED VOTING POWER BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 665,302 PERSON WITH 10. SHARED DISPOSITIVE POWER 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 665,302 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.3% 14. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! 5 CUSIP NO. 60819010 Page 5 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON Mark Lorberbaum 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 78,571 BENEFICIALLY OWNED 8. SHARED VOTING POWER BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 78,571 PERSON WITH 10. SHARED DISPOSITIVE POWER 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 78,571 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) .15% 14. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! 6 CUSIP NO. 60819010 Page 6 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON Suzanne L. Helen 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 98,035 BENEFICIALLY OWNED 8. SHARED VOTING POWER BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 98,035 PERSON WITH 10. SHARED DISPOSITIVE POWER 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 98,035 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) .2% 14. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! 7 CUSIP NO. 60819010 Page 7 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON S. H. Sharpe 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 503,031 BENEFICIALLY OWNED 8. SHARED VOTING POWER BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 503,031 PERSON WITH 10. SHARED DISPOSITIVE POWER 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 503,031 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1% 14. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! 8 CUSIP NO. 60819010 Page 8 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON The Alan S. Lorberbaum Family Foundation 58-6368036 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 300,000 BENEFICIALLY OWNED 8. SHARED VOTING POWER BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 300,000 PERSON WITH 10. SHARED DISPOSITIVE POWER 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 300,000 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) .57% 14. TYPE OF REPORTING PERSON* 00 *SEE INSTRUCTIONS BEFORE FILLING OUT! 9 CUSIP NO. 60819010 Page 9 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON The Jeffrey Lorberbaum Life Trust 58-6242318 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 0 BENEFICIALLY OWNED 8. SHARED VOTING POWER 0 BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 0 PERSON WITH 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) None 14. TYPE OF REPORTING PERSON* 00 *SEE INSTRUCTIONS BEFORE FILLING OUT! 10 CUSIP NO. 60819010 Page 10 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON The Mark Lorberbaum Life Trust 58-6242328 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 0 BENEFICIALLY OWNED 8. SHARED VOTING POWER 0 BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 0 PERSON WITH 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) None 14. TYPE OF REPORTING PERSON* 00 *SEE INSTRUCTIONS BEFORE FILLING OUT! 11 CUSIP NO. 60819010 Page 11 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON The Suzanne L. Helen Life Trust 58-6242317 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 0 BENEFICIALLY OWNED 8. SHARED VOTING POWER 0 BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 0 PERSON WITH 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) None 14. TYPE OF REPORTING PERSON* 00 *SEE INSTRUCTIONS BEFORE FILLING OUT! 12 CUSIP NO. 60819010 Page 12 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON The Lauren A. Lorberbaum Accumulation Trust 58-6242327 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 0 BENEFICIALLY OWNED 8. SHARED VOTING POWER 0 BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 0 PERSON WITH 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) None 14. TYPE OF REPORTING PERSON* 00 *SEE INSTRUCTIONS BEFORE FILLING OUT! 13 CUSIP NO. 60819010 Page 13 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON The Brian Lorberbaum Accumulation Trust 58-6242329 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 0 BENEFICIALLY OWNED 8. SHARED VOTING POWER 0 BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 0 PERSON WITH 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) None 14. TYPE OF REPORTING PERSON* 00 *SEE INSTRUCTIONS BEFORE FILLING OUT! 14 CUSIP NO. 60819010 Page 14 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON The Katherine N. Helen Accumulation Trust 58-6242325 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 0 BENEFICIALLY OWNED 8. SHARED VOTING POWER 0 BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 0 PERSON WITH 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) None 14. TYPE OF REPORTING PERSON* 00 *SEE INSTRUCTIONS BEFORE FILLING OUT! 15 CUSIP NO. 60819010 Page 15 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON The Jan Erik Helen Accumulation Trust 58-6242331 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 0 BENEFICIALLY OWNED 8. SHARED VOTING POWER 0 BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 0 PERSON WITH 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) None 14. TYPE OF REPORTING PERSON* 00 *SEE INSTRUCTIONS BEFORE FILLING OUT! 16 CUSIP NO. 60819010 Page 16 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON Barry L. Hoffman 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 3,500 BENEFICIALLY OWNED 8. SHARED VOTING POWER 9,900,000 BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 3,500 PERSON WITH 10. SHARED DISPOSITIVE POWER 9,900,000 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9,903,500 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 18.9% 14. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! 17 CUSIP NO. 60819010 Page 17 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON Aladdin Partners, L.P. 58-2237243 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 0 BENEFICIALLY OWNED 8. SHARED VOTING POWER 9,900,000 BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 0 PERSON WITH 10. SHARED DISPOSITIVE POWER 9,900,000 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9,900,000 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 18.9% 14. TYPE OF REPORTING PERSON* PN *SEE INSTRUCTIONS BEFORE FILLING OUT! 18 CUSIP NO. 60819010 Page 18 of 31 Pages 1. NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON ASL Management Corporation 58-2235816 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| 3. SEC USE ONLY 4. SOURCE OF FUNDS* Not applicable 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES 7. SOLE VOTING POWER 0 BENEFICIALLY OWNED 8. SHARED VOTING POWER 9,900,000 BY EACH REPORTING 9. SOLE DISPOSITIVE POWER 0 PERSON WITH 10. SHARED DISPOSITIVE POWER 9,900,000 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9,900,000 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |X| 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 18.9% 14. TYPE OF REPORTING PERSON* CO *SEE INSTRUCTIONS BEFORE FILLING OUT! 19 CUSIP NO. 60819010 Page 19 of 31 Pages AMENDMENT NO. 4 TO SCHEDULE 13D The Statement on Schedule 13D jointly filed on March 7, 1994, as amended by Amendment No. 1 filed on April 6, 1994, Amendment No. 2 filed on February 7, 1995 and Amendment No. 3 filed on June 28, 1996 (the "Schedule 13D"), by Alan Lorberbaum, Shirley Lorberbaum, Jeffrey Lorberbaum, Mark Lorberbaum, Suzanne L. Helen, S.H. Sharpe, Joseph Yarbrough, The Jeffrey Lorberbaum Life Trust, The Mark Lorberbaum Life Trust, The Suzanne L. Helen Life Accumulation Trust, Stephen Sharpe, Lynne Mozley, The Lauren A. Lorberbaum Accumulation Trust, The Brian Lorberbaum Accumulation Trust, The Katherine N. Helen Accumulation Trust, The Jan Erik Helen Accumulation Trust, Barry L. Hoffman, Aladdin Partners, L.P. and ASL Management Corporation ("Initial Reporting Persons") pursuant to a joint Filing Agreement dated as of March 7, 1994, is hereby amended in accordance with Rule 101(a)(2)(ii) of Regulation S-T. Item 1. Security and Issuer. This Schedule 13D relates to the common stock, par value $.01 per share ("Common Stock"), of Mohawk Industries, Inc., a Delaware corporation ("Mohawk"). The address of the principal executive offices of Mohawk is Post Office Box 12069, 160 South Industrial Boulevard, Calhoun, Georgia 30703. Item 2. Identity and Background. This statement is being filed by Alan Lorberbaum, Shirley Lorberbaum, Jeffrey Lorberbaum, Shirley Lorberbaum, Jeffrey Lorberbaum, Mark Lorberbaum, Suzanne L. Helen, S.H. Sharpe, Joseph Yarbrough, The Jeffrey Lorberbaum Life Trust, The Mark Lorberbaum Life Trust, The Suzanne L. Helen Life Trust, The Lauren A. Lorberbaum Accumulation Trust, The Brian Lorberbaum Accumulation Trust, The Katherine N. Helen Accumulation Trust, The Jan Erik Helen Accumulation Trust, Barry L. Hoffman, Aladdin Partners, L.P. (the "Partnership") and ASL Management Corporation ("ASL") (collectively, the "Reporting Persons"). Stephen Sharpe and Lynne Mozley, the emancipated children of S.H. Sharpe, have ceased to be a member of the group filing this statement in that they could no longer be considered to be acting in concert with the Reporting Persons. I. (a) Alan Lorberbaum (b) Alan Lorberbaum's business address is: Aladdin Mills 2001 Antioch Road Dalton, Georgia 30721 (c) Alan Lorberbaum is a director of Mohawk and a consultant to Mohawk. (f) Alan Lorberbaum is a citizen of the United States. II. (a) Shirley Lorberbaum (b) Shirley Lorberbaum's business address is: Aladdin Mills 2001 Antioch Road Dalton, Georgia 30721 20 CUSIP NO. 60819010 Page 20 of 31 Pages (c) Shirley Lorberbaum is the Director of Public Relations for Aladdin Mills, currently a division of Mohawk and formerly, as Aladdin Mills, Inc., a Georgia corporation ("Aladdin"). Aladdin is engaged in the manufacture of carpets and rugs. The address of Aladdin is 2001 Antioch Road, Dalton, Georgia 30721. (f) Shirley Lorberbaum is a citizen of the United States. III. (a) Jeffrey Lorberbaum (b) Jeffrey Lorberbaum's business address is: Aladdin Mills 2001 Antioch Road Dalton, Georgia 30721 (c) Jeffrey Lorberbaum is the President and Chief Operating Officer and a director of Mohawk and the President and Chief Executive Officer of Aladdin. (f) Jeffrey Lorberbaum is a citizen of the United States. IV. (a) Mark Lorberbaum (b) Mark Lorberbaum's business address is: Aladdin Mills 1320 N.W. 163rd Street Miami, Florida 33169 (c) Mark Lorberbaum is a Vice President of Aladdin. (f) Mark Lorberbaum is a citizen of the United States. V. (a) Suzanne L. Helen (b) Suzanne L. Helen's residential address is: 9605 E. Poundstone Place Greenwood Village, Colorado 80111 (c) Suzanne L. Helen is a homemaker. (f) Suzanne L. Helen is a citizen of the United States. VI. (a) S.H. Sharpe (b) S.H. Sharpe's business address is: Aladdin Mills 2001 Antioch Road Dalton, Georgia 30721 (c) S.H. Sharpe is Executive Vice President and Chief Financial Officer of Aladdin. (f) S.H. Sharpe is a citizen of the United States. 21 CUSIP NO. 60819010 Page 21 of 31 Pages VII. (a) The Alan S. Lorberbaum Family Foundation (b) The address of The Alan S. Lorberbaum Family Foundation is: Aladdin Mills 2001 Antioch Road Dalton, Georgia 30721 (c) Not applicable (f) The Alan S. Lorberbaum Family Foundation is organized under the laws of the State of Florida. VIII. (a) The Jeffrey Lorberbaum Life Trust (b) The address of The Jeffrey Lorberbaum Life Trust is: P. O. Box 2208 Dalton, Georgia 30722 (c) Not applicable (f) The Jeffrey Lorberbaum Life Trust is organized under the laws of the State of Georgia. IX. (a) The Mark Lorberbaum Life Trust (b) The address of The Mark Lorberbaum Life Trust is: P. O. Box 2208 Dalton, Georgia 30722 (c) Not applicable (f) The Mark Lorberbaum Life Trust is organized under the laws of the State of Georgia. X. (a) The Suzanne L. Helen Life Trust (b) The address of The Suzanne L. Helen Life Trust is: P. O. Box 2208 Dalton, Georgia 30722 (c) Not applicable (f) The Suzanne L. Helen Life Trust is organized under the laws of the State of Georgia. XI. (a) The Lauren A. Lorberbaum Accumulation Trust (b) The address of The Lauren A. Lorberbaum Accumulation Trust is: P. O. Box 2208 Dalton, Georgia 30722 (c) Not applicable (f) The Lauren A. Lorberbaum Accumulation Trust is organized under the laws of the State of Georgia. 22 CUSIP NO. 60819010 Page 22 of 31 Pages XII. (a) The Brian Lorberbaum Accumulation Trust (b) The address of The Brian Lorberbaum Accumulation Trust is: P. O. Box 2208 Dalton, Georgia 30722 (c) Not applicable (f) The Brian Lorberbaum Accumulation Trust is organized under the laws of the State of Georgia. XIII. (a) The Katherine N. Helen Accumulation Trust (b) The address of The Katherine N. Helen Accumulation Trust is: P. O. Box 2208 Dalton, Georgia 30722 (c) Not applicable (f) The Katherine N. Helen Accumulation Trust is organized under the laws of the State of Georgia. XIV. (a) The Jan Erik Helen Accumulation Trust (b) The address of The Jan Erik Helen Accumulation Trust is: P. O. Box 2208 Dalton, Georgia 30722 (c) Not applicable (f) The Jan Erik Helen Accumulation Trust is organized under the laws of the State of Georgia. XV. (a) Barry L. Hoffman (b) Barry L. Hoffman's business address is: Joseph Decosimo & Company 1100 Tallan Building Two Union Square Chattanooga, Tennessee 37402 (c) Barry L. Hoffman is a tax partner in Joseph Decosimo & Company, a firm of certified public accountants, the business address of which is: 1100 Tallan Building Two Union Square Chattanooga, Tennessee 37402 (f) Barry L. Hoffman is a citizen of the United States. XVI. (a) Aladdin Partners, L.P. (b) The business address and principal office of the Partnership is: 822 Atkinson Drive Dalton, Georgia 30720 23 CUSIP NO. 60819010 Page 23 of 31 Pages (c) Not applicable (f) The Partnership is organized under the laws of the State of Georgia. XVII. (a) ASL Management Corporation (b) The business address and principal office of ASL is: 822 Atkinson Drive Dalton, Georgia 30720 (c) Not applicable (f) ASL is organized under the laws of the State of Georgia. Item 5. Interest in Securities of the Issuer. Item 5 is amended and supplemented by replacing the information previously filed under this item with the following: (a) (b) Schedule I hereto sets forth the number of shares of Common Stock owned of record and which may be deemed to be beneficially owned by each of the Reporting Persons, and is incorporated herein by this reference. Share amounts in this Schedule 13D, including those indicated in Schedule I, have been adjusted for the 1.5 to 1 stock split paid on December 4, 1997. In the aggregate, the Reporting Persons may be deemed beneficially to own 14,933,009 shares of Common Stock, or 28.5% of the 52,374,694 shares reported to be outstanding as of July 23, 1998, as disclosed in Mohawk's Quarterly Report on Form 10-Q for the period ended June 27, 1998. Each Reporting Person listed in Item 5(a) hereby expressly declares that the filing of this statement shall not be construed as an admission that such Reporting Person is, for purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), the beneficial owner of any of the listed securities, except with respect to shares of Common Stock for which such Reporting Person has sole voting and dispositive power unless otherwise stated herein, and except for the beneficial ownership by the Partnership of the 9,900,000 shares of Common Stock held by the Partnership, or that the Reporting Persons are a group pursuant to Section 13(d)(3) of the Exchange Act. (c) The following transactions have been made during the 60 days preceding the date of this Amendment: On June 15, 1998 Alan S. Lorberbaum transferred by gift 300,000 shares of Common Stock to The Alan S. Lorberbaum Family Foundation, a charitable foundation organized under the laws of Florida. Alan S. Lorberbaum is the trustee of The Alan S. Lorberbaum Family Foundation. In addition, on February 25, 1988, the Partnership, sold an aggregate of 4,500,000 shares in a publicly underwritten offering lead by CS First Boston Corporation. 24 CUSIP NO. 60819010 Page 24 of 31 Pages Item 6. Other Arrangements. Item 6 is amended and supplemented by replacing the information previously filed under this item with the following: The following securities have been pledged to secure bank loans or lines of credit: 2,595,319 shares of Common Stock pledged by Alan S. Lorberbaum; 65,357 shares of Common Stock pledged by Suzanne L. Helen; 78,571 shares of Common Stock pledged by Mark Lorberbaum and 273,810 shares of Common Stock pledged by S.H. Sharpe. Item 7. Material to be Filed as Exhibits. (1) Joint Filing Agreement (including powers of attorney)* (2) Registration Statement of the Company on Form S-3 (Registration No. 333-45683) declared effective by the Securities and Exchange Commission on February 25, 1998 incorporated herein by reference. - ------------------- *Previously filed as Exhibit 1 of the Schedule 13D of the Initial Reporting Persons filed on March 7, 1994 and incorporated herein by reference. 25 CUSIP NO. 60819010 Page 25 of 31 Pages SIGNATURES 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 12, 1999 /s/ Alan S. Lorberbaum ALAN LORBERBAUM * SHIRLEY LORBERBAUM * JEFFREY LORBERBAUM /s/ S.H. Sharpe S.H. SHARPE * MARK LORBERBAUM * SUZANNE L. HELEN THE ALAN S. LORBERBAUM FAMILY FOUNDATION By /s/ ---------------------------- Alan S. Lorberbaum, Trustee 26 CUSIP NO. 60819010 Page 26 of 31 Pages THE JEFFREY LORBERBAUM LIFE TRUST By * Mark Lorberbaum, Trustee By /s/ S.H. Sharpe S.H. Sharpe, Trustee By * Barry L. Hoffman, Trustee THE MARK LORBERBAUM LIFE TRUST By /s/ S.H. Sharpe S.H. Sharpe, Trustee By * Barry L. Hoffman, Trustee THE SUZANNE L. HELEN LIFE TRUST By /s/ S.H. Sharpe S.H. Sharpe, Trustee By * Barry L. Hoffman, Trustee * 27 CUSIP NO. 60819010 Page 27 of 31 Pages THE BRIAN LORBERBAUM ACCUMULATION TRUST By * Mark Lorberbaum, Trustee By * Barry L. Hoffman, Trustee THE LAUREN A. LORBERBAUM ACCUMULATION TRUST By * Mark Lorberbaum, Trustee By * Barry L. Hoffman, Trustee THE KATHERINE N. HELEN ACCUMULATION TRUST By * Mark Lorberbaum, Trustee By * Jeffrey Lorberbaum, Trustee THE JAN ERIK HELEN ACCUMULATION TRUST By * Mark Lorberbaum, Trustee By * Jeffrey Lorberbaum, Trustee * BARRY L. HOFFMAN 28 CUSIP NO. 60819010 Page 28 of 31 Pages ALADDIN PARTNERS, L.P. By ASL Management Corporation, a General Partner By /s/ Alan S. Lorberbaum Alan S. Lorberbaum, Chief Executive Officer ASL MANAGEMENT CORPORATION By /s/Alan S. Lorberbaum Alan S. Lorberbaum, Chief Executive Officer * By /s/ S.H. Sharpe S.H. Sharpe, as attorney-in-fact 29 CUSIP NO. 60819010 Page 29 of Page 31
Beneficial Percent of Sole Voting and Shared Voting and Name Ownership(1) Outstanding(2) Record Ownership Dispos. Power Dispos. Power(3) - ------------------------------------------------------------------------------------------------------------------------ Alan S. Lorberbaum 13,792,979(4) 26.3% 3,892,979 3,892,979 9,900,000(4) - ------------------------------------------------------------------------------------------------------------------------ Shirley Lorberbaum 9,900,000(5) 18.9% 0 0 9,900,000(5) - ------------------------------------------------------------------------------------------------------------------------ Jeffrey Lorberbaum 665,302(6) 1.3% 665,302 665,302 0 - ------------------------------------------------------------------------------------------------------------------------ Mark Lorberbaum 78,571(7) .1% 78,571 78,571 0 - ------------------------------------------------------------------------------------------------------------------------ Suzanne L. Helen 293098,035(8) .2% 98,035 98,035 0 - ------------------------------------------------------------------------------------------------------------------------ S.H. Sharpe 503,031(9) 1.0% 503,031 503,031 0 - ------------------------------------------------------------------------------------------------------------------------ The Jeffrey Lorberbaum Life Trust 0 0% 0 0 0 - ------------------------------------------------------------------------------------------------------------------------ The Mark Lorberbaum Life Trust 0 0% 0 0 0 - ------------------------------------------------------------------------------------------------------------------------ The Suzanne L. Helen Life Trust 0 0% 0 0 0 - ------------------------------------------------------------------------------------------------------------------------ The Lauren A. Lorberbaum Accumulation Trust 0 0% 0 0 0 - ------------------------------------------------------------------------------------------------------------------------ The Brian Lorberbaum Accumulation Trust 0 0% 0 0 0 - ------------------------------------------------------------------------------------------------------------------------
30 CUSIP NO. 60819010 Page 30 of Page 31
Beneficial Percent of Sole Voting and Shared Voting and Name Ownership(1) Outstanding(2) Record Ownership Dispos. Power Dispos. Power(3) - ------------------------------------------------------------------------------------------------------------------------ The Katherine N. Helen 0 0% 0 0 0 Accumulation Trust - ------------------------------------------------------------------------------------------------------------------------ The Jan Erik Helen 0 0% 0 0 0 Accumulation Trust - ------------------------------------------------------------------------------------------------------------------------ Barry L. Hoffman 9,903,500(10) 18.9% 0 3,500(11) 9,900,000(10) - ------------------------------------------------------------------------------------------------------------------------ Aladdin Partners, L.P. 9,900,000 18.9% 9,900,000 0 9,900,000 - ------------------------------------------------------------------------------------------------------------------------ ASL Management Corporation 9,900,000(12) 18.9% 0 0 9,900,000(12) - ------------------------------------------------------------------------------------------------------------------------
(1) Shares of Common Stock which may be deemed to be beneficially owned by each Reporting Person. The Reporting Persons disclaim beneficial ownership of certain of these shares, as is more fully set forth in Item 5 of this schedule. (2) Based on 52,374,694 shares of Common Stock outstanding as of July 23, 1998 as disclosed in Mohawk's Quarterly Report on Form 10-Q for the period ended June 27, 1988. (3) Shares of Common Stock over which the respective Reporting Person may be deemed to have shared voting and dispositive power. (4) Includes 9,900,000 shares held by Aladdin Partners, Inc. (the "Partnership"). Mr. Alan S. Lorberbaum, as a director of ASL Management Corporation ("ASL"), the majority general partner of the Partnership, may be deemed to share voting and dispositive power with respect to all such shares. Includes 300,000 shares held by The Alan S. Lorberbaum Family Foundation (the "Foundation"). Mr. Alan S. Lorberbaum, as the sole trustee of the Foundation, may be deemed to share voting and dispositive power with respect to all such shares. (5) Includes 9,900,000 shares held by the Partnership. Mrs. Shirley Lorberbaum, as a director of ASL, the majority general partner of the Partnership, may be deemed to share voting and dispositive power with respect to all such shares. Does not include 3,892,979 shares of Common Stock owned of record by Mr. Alan S. Lorberbaum, Mrs. Lorberbaum's husband. 31 CUSIP NO. 60819010 Page 30 of Page 31 (6) Includes 45,000 shares subject to options currently exercisable. Does not include 9,900,000 shares held by the Partnership, of which Jeffrey Lorberbaum is a minority general partner. (7) Does not include 9,900,000 shares held by the Partnership, of which Mark Lorberbaum is a minority general partner. (8) Does not include 9,900,000 shares held by the Partnership, of which Suzanne Helen is a minority general partner. (9) Does not include 9,900,000 shares held by the Partnership, of which S.H. Sharpe is a minority general partner. (10) Includes 9,900,000 shares held by the Partnership. As a director of ASL, the majority general partner of the Partnership, Barry Hoffman may be deemed to share voting and dispositive power with respect to all such shares. (11) Shares beneficially owned by Barry L. Hoffman in an employee benefit plan. (12) Shares held by the Partnership. ASL, as the majority general partner of the Partnership, shares voting and dispositive power with respect to all such shares. -----END PRIVACY-ENHANCED MESSAGE-----