-----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, WteS3SymfqtnLImsMO7BK10R98VfPCLjT6p0Z9BW7PH/4EwfGq06jX21Ub8rs9Zn aCdQlbuHiXZybYS58v60HA== 0000898431-02-000149.txt : 20021121 0000898431-02-000149.hdr.sgml : 20021121 20021121164458 ACCESSION NUMBER: 0000898431-02-000149 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021121 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN LOCKER GROUP INC CENTRAL INDEX KEY: 0000008855 STANDARD INDUSTRIAL CLASSIFICATION: PARTITIONS, SHELVING, LOCKERS & OFFICE AND STORE FIXTURES [2540] IRS NUMBER: 160338330 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-18717 FILM NUMBER: 02836383 BUSINESS ADDRESS: STREET 1: 608 ALLEN STREET CITY: JAMESTOWN STATE: NY ZIP: 14701 BUSINESS PHONE: 7166649600 MAIL ADDRESS: STREET 1: 608 ALLEN STREET CITY: JAMESTOWN STATE: NY ZIP: 14701 FORMER COMPANY: FORMER CONFORMED NAME: AVM CORP DATE OF NAME CHANGE: 19850520 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ESTATE OF HAROLD J RUTTENBERG CENTRAL INDEX KEY: 0001060912 STATE OF INCORPORATION: AL FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: C/O EXECUTRIX STREET 2: NO ADDRESS GIVEN BUSINESS PHONE: 2054083000 MAIL ADDRESS: STREET 1: C/O EXECUTRIX STREET 2: NO ADDRESS GIVEN SC 13D 1 schedule13d_112002.txt SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMERICAN LOCKER GROUP INCORPORATED - ------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK $1.00 PAR VALUE - ------------------------------------------------------------------------------- (Title of Class of Securities) 027284108 ------------------------------------- (CUSIP Number) CHARLES E. HARRIS, HENRY W. OLIVER BUILDING, 535 SMITHFIELD STREET, PITTSBURGH, PA 15222, 412-355-6730 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) NOVEMBER 20, 2002 (SEE BELOW) ----------------------------------------------------- (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 ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-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 ss.240.13d-7 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 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).
SCHEDULE 13D CUSIP No. 027284108 1) NAME OF REPORTING PERSON Estate of Katherine M. Ruttenberg S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON _________ 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* Not Applicable (a) [ ] (b) [ ] 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) [ ] Not Applicable 6) CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7) SOLE VOTING POWER 53,400 See Items 2 and 5 8) SHARED VOTING POWER 0 9) SOLE DISPOSITIVE POWER 53,400 See Items 2 and 5 10) SHARED DISPOSITIVE POWER 0 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 53,400 See Items 2 and 5 12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.5% See Items 2 and 5 14) TYPE OF REPORTING PERSON Estate
STATEMENT OF INFORMATION REQUIRED PURSUANT TO SECTION 13(d)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 ----------------------------------- ITEM 1. Security and Issuer The title of the class of equity security to which this filing relates is common stock, $1.00 par value ("ALGI Common Stock") issued by American Locker Group Incorporated, a Delaware corporation ("ALGI"). The principal executive offices of ALGI are located at 608 Allen Street, Jamestown, New York 14702. ITEM 2. Identity and Background This statement is filed by Estate of Katherine M. Ruttenberg, whose business address is c/o Ellen Rabin, Executrix, 806 Riverview Road, Lemoyne, Pennsylvania 17043. Principal Occupation: Not Applicable During the last five (5) years, the Estate: (a) has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), and (b) has not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and nor as a result of such proceeding has he become subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. ITEM 3. Source and Amount of Funds or other Consideration Not Applicable. ITEM 4. Purpose of Transaction The purpose of the transaction was to gain liquidity to allow payment of taxes by the Estate and fund distributions to beneficiaries of the Estate. ITEM 5. Interest in Securities of the Issuer On November 20, 2002, the Estate sold 95,000 shares of AGI common stock to ALGI for $10.10 per share or $959,500 in the aggregate. After such sale, the Estate of Katherine M. Ruttenberg beneficially owns 53,400 shares of ALGI Common Stock. Except as set forth above, no transactions in ALGI Common Stock have been effected by Katherine M. Ruttenberg or the Estate of Katherine M. Ruttenberg during the last 60 days. ITEM 6. Contracts, Agreement, Understanding or Relationships with respect to Securities of the Issuer There are no contracts, arrangements, understandings or relationships (legal or otherwise) among The Estate of Katherine M. Ruttenberg and any other person with respect to securities of ALGI. ITEM 7. Material to be Filed as Exhibits None. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true and correct. Date: November 20, 2002 Estate of Katherine M. Ruttenberg By: /s/ Ellen Rabin --------------------------------- Ellen Rabin Title: Executrix -----END PRIVACY-ENHANCED MESSAGE-----