-----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, Ty0nWeSi5pTwCLsDavOqoDcLdAiFpneN6iy6xa6SoAbQG6j5KDUTrhsCWA7pqAu0 apA0aS3z8iQ/5jRaJy9gkQ== 0001000227-97-000001.txt : 19970222 0001000227-97-000001.hdr.sgml : 19970222 ACCESSION NUMBER: 0001000227-97-000001 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TB WOODS CORP CENTRAL INDEX KEY: 0001000227 STANDARD INDUSTRIAL CLASSIFICATION: GENERAL INDUSTRIAL MACHINERY & EQUIPMENT, NEC [3569] IRS NUMBER: 251771145 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48279 FILM NUMBER: 97530100 BUSINESS ADDRESS: STREET 1: 440 N FIFTH AVE CITY: CHAMBERSBURG STATE: PA ZIP: 17201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TB WOODS CORP CENTRAL INDEX KEY: 0001000227 STANDARD INDUSTRIAL CLASSIFICATION: GENERAL INDUSTRIAL MACHINERY & EQUIPMENT, NEC [3569] IRS NUMBER: 251771145 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 440 N FIFTH AVE CITY: CHAMBERSBURG STATE: PA ZIP: 17201 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ---------- SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 TB WOOD'S CORPORATION ------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $.01 PAR VALUE PER SHARE -------------------------------------------------------------- (Title of Class of Securities) 872226105 -------------------------------------------------------------- (CUSIP Number) ---------- CUSIP No. 872226105 13G - ------------ ------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENT1IFICATION NO. OF ABOVE PERSONS THOMAS C. FOLEY - ------------ ------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)_ (b)_ - ------------ ------------------------------------------------------------------- 3 SEC USE ONLY - ------------ ------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA - --------------------------- ----------------- ---------------------------------- 5 SOLE VOTING POWER 2,768,758* ----------------- ---------------------------------- 6 SHARED VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING 0 PERSON WITH ----------------- ---------------------------------- 7 SOLE DISPOSITIVE POWER 2,768,758 * ----------------- ---------------------------------- 8 SHARED DISPOSITIVE POWER 0 - --------------------------- ----------------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,768,758 - ------------ ------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)EXCLUDES CERTAIN SHARES _ - ------------ ------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 47.5% - ------------ ------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - ------------ ------------------------------------------------------------------- * Includes shares of Common Stock over which Mr. Foley has granted stock options to J.P. Conte and Donald N. Fawcett in the amounts of 72,922 shares and 6,000 shares, respectively. Messrs. Conte and Fawcett are former employees of the NTC Group, Inc.. Mr. Foley is the sole shareholder of the NTC Group, Inc. and serves as its President and Chairman. Item 1(a). Name of Issuer: TB Wood's Corporation Address of Issuer's Principal Executive Offices: 440 North Fifth Avenue, Chambersburg, PA 17201 Item 2(a). Name of Person Filing: Thomas C. Foley Item 2(b). Address of Principal Business Office or, if None, Residence: Three Pickwick Plaza, Suite 200, Greenwich, CT 06830 Item 2(c). Citizenship: USA Item 2(d). Title of Class of Securities: Common Stock, $.01 Par Value Per Share Item 2(e). CUSIP Number: 872226105 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) ___ Broker or dealer registered under Section 15 of the Act, (b) ___ Bank as defined in Section 3(a)(6) of the Act, (c) ___ Insurance Company as defined in Section 3(a)(19) of the Act, (d) ___ Investment Company registered under Section 8 of the Investment Company Act, (e) ___ Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, (f) ___ Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund, (g) ___ Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G), (h) ___ Group, in accordance with Rule 13d-1(b)(1)(ii)(H). Item 4. Ownership. (a) Amount beneficially owned: 2,768,758 (b) Percent of class: 47.5% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 2,768,758* (ii) Shared power to vote or to direct the vote -0- (iii) Sole power to dispose or to direct the disposition of 2,768,758* (iv) Shared power to dispose or to direct the disposition of -0- 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 * Includes shares of Common Stock over which Mr. Foley has granted stock options to J.P. Conte and Donald N. Fawcett in the amounts of 72,922 shares and 6,000 shares, respectively. Messrs. Conte and Fawcett are former employees of the NTC Group, Inc. Mr. Foley is the sole shareholder of the NTC Group, Inc. and serves as its President and Chairman. 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. Not Applicable 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. February 12, 1997 ------------------- (Date) /s/ THOMAS C. FOLEY ------------------- (Signature) Thomas C. Foley ------------------- (Name/Title) -----END PRIVACY-ENHANCED MESSAGE-----