-----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, Pd0Wmqjeq7lDDOSKWv+njhkFUeaOLG3e+yr455vAeN5DsTR4Boi+3EPa3M1q+o0H CvSl971Ae96ARVXesPmkzA== 0000914760-02-000019.txt : 20020414 0000914760-02-000019.hdr.sgml : 20020414 ACCESSION NUMBER: 0000914760-02-000019 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WESTELL TECHNOLOGIES INC CENTRAL INDEX KEY: 0001002135 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 363154957 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49136 FILM NUMBER: 02545565 BUSINESS ADDRESS: STREET 1: 750 N COMMONS DRIVE CITY: AURORA STATE: IL ZIP: 60504 BUSINESS PHONE: 6308982500 MAIL ADDRESS: STREET 1: 750 NORTH COMMONS DRIVE CITY: AURORA STATE: IL ZIP: 60504 FORMER COMPANY: FORMER CONFORMED NAME: ELECTRONIC INFORMATION TECHNOLOGIES INC DATE OF NAME CHANGE: 19951012 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SIMON MELVIN J & PENNY ROBERT C III CENTRAL INDEX KEY: 0001033049 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 4343 COMMERCE CT STREET 2: STE 114 CITY: LISLE STATE: IL ZIP: 60532 BUSINESS PHONE: 6309551155 MAIL ADDRESS: STREET 1: 4343 COMMERCE CT STREET 2: STE 114 CITY: LISLE STATE: IL ZIP: 60532 SC 13G/A 1 w4318313ga6.txt AMENDMENT 6 SECURITIES AND EXCHANGE COMMISSION Washington, D.C 20549 AMENDMENT NO. 6 TO SCHEDULE 13G Under the Securities Exchange Act of 1934 WESTELL TECHNOLOGIES, INC. ---------------------------------------- (Name of Issuer) Class A Common Stock, par value $0.01 Class B Common Stock, par value $0.01(1) ---------------------------------------- (Title of Class of Securities) 957541-10-5 (Number for Class A Common Stock) ---------------------------------------- CUSIP Number December 31, 2001 (end of calendar year) ---------------------------------------- (Date of Event Which Requires Filing of this Statement Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |_| Rule 13d-1(c) |X| Rule 13d-1(d) *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 18 of the Securities Exchange Act of 1934 ("Exchange 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). - ---------------- (1) Although not registered under Section 12 of the Securities Exchange Act of 1934, as amended, Class B Common Stock automatically converts into Class A Common Stock upon any transfer except transfers to permitted transferees. Page 1 of 10 CUSIP NO. 957541-10-5 1. NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Melvin J. Simon 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A) X (B) 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF 5. SOLE VOTING POWER SHARES 746,571 Class B Common Stock at December 31, 2001 379,493 Class A Common Stock at December 31, 2001 (including options and warrants to purchase shares that are exercisable within 60 days of December 31, 2001) BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 18,268,297 Class B Common Stock at December 31, 2001 EACH 7. SOLE DISPOSITIVE POWER REPORTING 746,571 Class B Common Stock at December 31, 2001 379,493 Class A Common Stock at December 31, 2001 (including options and warrants to purchase shares that are exercisable within 60 days of December 31, 2001) PERSON 8. SHARED DISPOSITIVE POWER WITH 18,268,297 Class B Common Stock at December 31, 2001 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 379,493 Class A Common Stock (including options and warrants to purchase shares that are exercisable within 60 days of December 31, 2001) 19,014,868 Class B Common Stock at December 31, 2001 10. CHECK IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES Not applicable. Page 2 of 10 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Approximately 62.4% the total voting power of the corporation (Class A Common Stock and Class B Common Stock). 100.0% of outstanding shares of Class B Common Stock. Less than 1% of the outstanding shares of Class A Common Stock. 12. TYPE OF REPORTING PERSON: IN Page 3 of 10 CUSIP NO. 957541-10-5 1. NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Robert C. Penny III 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A) X (B) 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF 5. SOLE VOTING POWER SHARES -- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 170,940 Class A Common Stock (including warrants to purchase shares that are exercisable within 60 days of December 31, 2001) 18,268,297 Class B Common Stock EACH 7. SOLE DISPOSITIVE POWER REPORTING ---- PERSON 8. SHARED DISPOSITIVE POWER WITH 170,940 Class A Common Stock (including warrants to purchase shares that are exercisable within 60 days of December 31, 2001) 18,268,297 Class B Common Stock 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 18,268,297 Class B Common Stock at December 31, 2001 170,940 Class A Common Stock (including warrants to purchase shares that are exercisable within 60 days of December 31, 2001) 10. CHECK IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES Page 4 of 10 Not applicable. 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Approximately 60.0% the total voting power of the corporation (Class A Common Stock and Class B Common Stock). Approximately 96.1% of outstanding shares of Class B Common Stock. Less than 1% of the Class A Common Stock. 12. TYPE OF REPORTING PERSON: IN Page 5 of 10 Item 1(a) NAME OF ISSUER: Westell Technologies, Inc. Item 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 750 North Commons Drive, Aurora, Illinois 60504 Item 2(a) NAME OF PERSON FILING: Robert C. Penny III and Melvin J. Simon Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 4343 Commerce Court, Suite 306, Lisle, Illinois 60532 Item 2(c) CITIZENSHIP: United States Item 2(d) TITLE OF CLASS OF SECURITIES: Class A Common Stock, $0.01 par value per share, and Class B Common Stock, $0.01 par value per share, of Westell Technologies, Inc. Class B Common Stock has four votes per share and automatically converts into Class A Common Stock (one vote per share) unless transferred to certain family members of Robert C. Penny III, Gary F. Seamans or Melvin J. Simon. Item 2(e) CUSIP NUMBER: The CUSIP number of the Class A Common Stock is 957541-10-5. Since the Class B Common Stock is not listed on any exchange, it does not have a CUSIP number. Item 3 THE PERSON FILING THIS STATEMENT IS A: This statement is not being filed pursuant to Rule 13d-1(b) or 13d-2(b). Not Applicable. Item 4 OWNERSHIP (a) Amount Beneficially Owned as of December 31, 2001: Robert C. Penny III: 18,268,297 Class B Common Stock and 170,940 Class A Common Stock (including warrants to purchase shares of Class A Common Stock that are exercisable within 60 days of December 31, 2001) Melvin J. Simon: 19,014,868 Class B Common Stock and 379,493 Class A Common Stock (including options and warrants to purchase shares of Class A Common Stock that are exercisable within 60 days of December 31, 2001) (b) Percent of Class: Robert C. Penny III: Page 6 of 10 Approximately 60.0% of the total voting power of the corporation (Class A Common Stock and Class B Common Stock). Approximately 96.1% of outstanding voting power Class B Common Stock. Less than 1% of the outstanding shares of Class A Common Stock. Melvin J. Simon: Approximately 62.4% of the total voting power of the corporation (Class A Common Stock and Class B Common Stock). 100.0% of outstanding shares of Class B Common Stock. Less than 1% of the outstanding shares of Class A Common Stock. (c) Number of shares as to which such person has as of December 31, 2001: (i) sole power to vote or to direct the vote: Robert C. Penny III: None Melvin J. Simon: 746,571 Class B Common Stock 379,493 Class A Common Stock (including options and warrants to purchase shares that are exercisable within 60 days of December 31, 2001) (ii) shared power to vote or to direct the vote: Robert C. Penny III: 18,268,297 Class B Common Stock 170,940 Class A Common Stock (including warrants to purchase shares that are exercisable within 60 days of December 31, 2001) Melvin J. Simon: 18,268,297 Class B Common Stock (iii) sole power to dispose or direct the disposition of: Robert C. Penny III: None Melvin J. Simon: 746,571 Class B Common Stock 379,493 Class A Common Stock (including options and warrants to purchase shares that are exercisable within 60 days of December 31, 2001) (iv) shared power to dispose or direct the disposition of: Robert C. Penny III: 18,268,297 Class B Common Stock Page 7 of 10 170,940 Class A Common Stock (including warrants to purchase shares that are exercisable within 60 days of December 31, 2001) Melvin J. Simon: 18,268,297 Class B Common Stock 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: Messrs. Penny and Simon beneficially own an aggregate of 18,268,297 shares of Class B Common Stock as Voting Trustees of a Voting Trust formed pursuant to the Voting Trust Agreement dated February 23, 1994, as amended, among Robert C. Penny III and Melvin J. Simon, as co-trustees, and certain members of the Penny family and the Simon family. As beneficiaries of trusts that are beneficiaries of the voting trust, Robert C Penny III, Marlene D. Foskett and Barbara J. Pruitt each have the right to receive more than 5% of the dividends with respect to the Class B Common Stock held in the voting trust. In addition to the amounts set forth in the above paragraph, Mr. Simon, as trustee of various trusts for the benefit of Robert C. Penny, Marlene D. Foskett and Barbara J. Pruitt, beneficially owns an aggregate of 554,611 shares of Class B Common Stock and warrants to purchase 256,410 shares of Class A Common Stock. The beneficiaries of the trusts have the right to receive more that 5% of the dividends of the Company with respect to the stock held in these trusts. Page 8 of 10 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: Please see the response to Item 6 above. Item 9 NOTICE OF DISSOLUTION OF GROUP: Not applicable. Item 10 CERTIFICATION: Not applicable. Page 9 of 10 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, 2002 ------------------------------------ Date /s/ Robert C. Penny III Robert C. Penny III /s/ Melvin J. Simon ------------------- Melvin J. Simon ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001). Page 10 of 10 -----END PRIVACY-ENHANCED MESSAGE-----