-----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, CYBuSP1K61zB2PA/VIzLym2+QCXsRnWXpoIILZsZD4yazGE9YQ9B51ZZ+3dicioa EATw0YX2vdkcJYqeJ6/lKg== 0000950152-97-001195.txt : 19970222 0000950152-97-001195.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950152-97-001195 CONFORMED SUBMISSION TYPE: SC 13G/A CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970220 SROS: AMEX SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SERVOTRONICS INC /DE/ CENTRAL INDEX KEY: 0000089140 STANDARD INDUSTRIAL CLASSIFICATION: CUTLERY, HANDTOOLS & GENERAL HARDWARE [3420] IRS NUMBER: 160837866 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-32675 FILM NUMBER: 00000000 BUSINESS ADDRESS: STREET 1: 1110 MAPLE ST CITY: ELMA STATE: NY ZIP: 14059 BUSINESS PHONE: 7166335990 MAIL ADDRESS: STREET 1: P O BOX 300 STREET 2: ELMA STATE: NY ZIP: 14059-0300 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SERVOTTENICA INC EMPLOYEE STOCK OWNERSHIP TRUST CENTRAL INDEX KEY: 0001033978 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1110 MAPLE ST CITY: ELMA STATE: NY ZIP: 14059 BUSINESS PHONE: 7166555900 MAIL ADDRESS: STREET 1: 1110 MAPLE ST CITY: ELMA STATE: NY ZIP: 14059 SC 13G/A 1 SERVOTRONICS/SERVOTRONICS EMPLOYEE STOCK TRUST 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* SERVOTRONICS, INC. ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, par value $.20 ------------------------------------------------------------------------------ (Title of Class of Securities) 81773232 10 0 -------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing 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.) *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 the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 13 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 2
- ------------------------------------------------ -------------------------------------- CUSIP NO. 81773232 10 0 13G Page 2 of 5 Pages ------------- - ------------------------------------------------ -------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Servotronics, Inc. Employee Stock Ownership Trust (I.R.S. Id. No.: 16-125-2558) - ------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - ------------------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 660,713.248 BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH ---------------------------------------------------------------------------------- 6 SHARED VOTING POWER ---------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 942,085 ---------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER - ------------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 942,085 - ------------------------------------------------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 40% - ------------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* EP - -------------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT! 3 AMENDMENT NO. 9 TO SCHEDULE 13G SERVOTRONICS, INC. ------------------ Item 1(a) Name of Issuer: --------------- Servotronics, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: ------------------------------------------------ 1110 Maple Street, Elma, New York 14059 Item 2(a) Name of Person Filing: ---------------------- Servotronics, Inc. Employee Stock Ownership Trust (the "ESOT") Item 2(b) Address of Principal Business Office: ------------------------------------- 1110 Maple Street, Elma, New York 14059 Item 2(c) Citizenship: ------------ The ESOT is a trust organized in the State of New York. Item 2(d) Title of Class of Securities: ----------------------------- Common Stock, $.20 par value Item 2(e) CUSIP Number: ------------- 81773232 10 0 Item 3 This Statement is Filed Pursuant to Rule 13d-1(b) by an: -------------------------------------------------------- (f) Employee Benefit Plan which is subject to the provisions of the Employee Retirement Income Security Act of 1974 Page 3 of 5 Pages 4 Item 4 Ownership (as of December 31, 1996): ------------------------------------ (a) Amount Beneficially Owned: ----------------------------- 942,085 shares (b) Percent of Class: ----------------- 40% (c) The ESOT has sole dispositive power with respect to approximately 942,085 shares and sole voting power with respect to approximately 660,713.248 shares. 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: -------------- 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 control of the issuer of such securities and were not acquired in Page 4 of 5 Pages 5 connection with or as the 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 14, 1997. SERVOTRONICS, INC. EMPLOYEE STOCK OWNERSHIP TRUST By: /s/ Lee D. Burns, Trustee -------------------------------------- Lee D. Burns, a Trustee Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----