-----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, BoOWnFqXcIL17A4WY2EO3KpnSiV9/K1DVASZrjHuoTjh67W2a+LaTBv9wEJ4xAda e2fuEtLnshvVBWTPE3cPJg== 0000897069-96-000357.txt : 19961104 0000897069-96-000357.hdr.sgml : 19961104 ACCESSION NUMBER: 0000897069-96-000357 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961101 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBUS MCKINNON CORP CENTRAL INDEX KEY: 0001005229 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 160547600 STATE OF INCORPORATION: NY FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-46371 FILM NUMBER: 96651956 BUSINESS ADDRESS: STREET 1: 140 JOHN JAMES AUDUBON PKWY CITY: AMHERST STATE: NY ZIP: 14228-1197 BUSINESS PHONE: 7166895400 MAIL ADDRESS: STREET 1: 140 JOHN JAMES AUDUBON PARKWAY CITY: AMHERST STATE: NY ZIP: 14228-1197 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERG GILCHRIST B CENTRAL INDEX KEY: 0000904870 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 225 W WATER ST STREET 2: STE 1987 CITY: JACKSONVILLE STATE: FL ZIP: 32202 BUSINESS PHONE: 9043555959 MAIL ADDRESS: STREET 1: 225 W WATER ST STREET 2: STE 1987 CITY: JACKSONVILLE STATE: FL ZIP: 32202 SC 13D 1 OMB Approval OMB 3235-0145 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 Columbus McKinnon Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 199333105 (CUSIP Number) Gilchrist B. Berg, 225 Water Street, Suite 1987, Jacksonville, FL 32202 904/355-5959 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 23, 1996 (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [_]. Check the following box if a fee is being paid with the statement [_] . (A fee is not required only if the reporting 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.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) 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). (Continued on following page(s)) SEC 1746 (9-82) 13D CUSIP NO. 199333105 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Gilchrist B. Berg 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] N/A 3 SEC USE ONLY 4 SOURCE OF FUNDS* AF 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING PURSUANT TO ITEMS 2(d) or 2(e) [_] N/A 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. 7 SOLE VOTING POWER NUMBER OF 818,100 SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY -- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON 818,100 WITH 10 SHARED DISPOSITIVE POWER -- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 818,100 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] N/A 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.0% 14 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1. Security and Issuer. This Schedule 13D relates to shares of common stock (the "Shares") of Columbus McKinnon Corporation (the "Company"), a New York corporation. The principal executive offices of the Company are located at 140 John James Audobon Parkway, Amherst, New York 14228-1197. Item 2. Identity and Background. 1. This Schedule 13D is being filed by Gilchrist B. Berg. 2. Mr. Berg's business address is 225 Water Street, Suite 1987, Jacksonville, FL 32202. 3. Mr. Berg's present principal occupation is President of Water Street Capital, Inc., which is engaged in the investment management business, and Managing General Partner of limited partnerships engaged in the business of investing in securities. The investment accounts and partnerships managed by Mr. Berg (totalling fewer than 15) are referred to collectively as the "Partnerships." The business address of Water Street Capital, Inc. and the Partnerships is 225 Water Street, Suite 1987, Jacksonville, FL 32202. 4. During the last five years, Mr. Berg has not been convicted in any criminal proceeding (excluding traffic violations or similar misdemeanors). 5. During the last five years, Mr. Berg has not been a party to any civil proceeding of a judicial or administrative body of competent jurisdiction resulting in 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. 6. Mr. Berg is a United States citizen. Item 3. Source and Amount of Funds or Other Consideration. Funds in the aggregate amount of $12,621,840 were used to purchase the Shares. The Shares were purchased by, and utilizing the funds of, the Partnerships, the investments of which Mr. Berg manages. Item 4. Purpose of Transaction. The Shares were acquired for, and are being held, for investment purposes. Mr. Berg may cause the Partnerships to acquire additional shares from time to time in the open market based on factors such as the Company's financial condition, results of operations and future prospects, the market value of the Shares, other available investment opportunities, and general economic and market conditions. Depending on such factors, Mr. Berg may determine at some time to cause the Partnerships to dispose of all or a portion of the Shares. Mr. Berg has no present plans or proposals which relate to or would result in: (1) The acquisition by any person of additional securities of the Company or the disposition of securities of the Company, except as set forth above; (2) An extraordinary corporate transaction, such as a merger, reorganization, or liquidation, involving the Company or any of its subsidiaries; (3) A sale or transfer of a material amount of assets of the Company or any of its subsidiaries; (4) Any change in the present board of directors or management of the Company, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (5) Any material change in the present capitalization or dividend policy of the Company; (6) Any other material change in the Company's business or corporate structure; (7) Any changes in the Company's charter, bylaws, or instruments corresponding thereto or other actions which may impede the acquisition of control of the Company by any person; (8) Causing a class of securities of the Company to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (9) Causing a class of equity securities of the Company becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934; or (10) Any action similar to any of those enumerated above. Item 5. Interest in Securities of the Issuer. (a) and (b) Pursuant to Rule 13d-3, Mr. Berg is deemed to be the beneficial owner of all 818,100 Shares which represent 6.0 percent of the 13,730,000 shares of common stock outstanding. Mr. Berg has sole investment management authority for the investments of the Partnerships and, accordingly, has sole voting and dispositive power over the Shares. (c) The table set forth on Appendix A sets forth the dates, number of shares and per share price for all transactions in the Company's common stock effected by Mr. Berg during the past sixty days, all of which consisted of purchases made for the Partnerships through brokers in open market transactions. (d) Any dividends on the Shares and the proceeds from the sale thereof will be paid to the Partnerships, based on the relative number of shares owned by each. No other persons have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of the Shares. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. There are no contracts, arrangements, understandings or relationships (legal or otherwise) between Mr. Berg and any other persons with respect to any securities of the Company, including but not limited to transfer or voting of any securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies. Item 7. Material to be Filed as Exhibits. None. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth and this statement is true, complete and correct. /s/ Gilchrist B. Berg Gilchrist B. Berg DATE: October 31, 1996 APPENDIX A TO 13D Columbus McKinnon Corp N Y 140 John James Audubon Parkway Amherst, NY 14228-1197 Common Stock Cusip 199333105 DATE NATURE OF PRICE NO. OF TRANSACTION SHARES 11-Sep-96 Purchase $14.19 300 12-Sep-96 Purchase $14.25 7,500 12-Sep-96 Purchase $14.38 5,700 13-Sep-96 Purchase $14.50 20,000 13-Sep-96 Purchase $14.50 5,800 16-Sep-96 Purchase $14.61 15,300 17-Sep-96 Purchase $14.63 2,000 17-Sep-96 Purchase $14.63 10,000 18-Sep-96 Purchase $14.63 1,000 18-Sep-96 Purchase $14.63 5,000 19-Sep-96 Purchase $14.63 17,400 19-Sep-96 Purchase $14.50 400 20-Sep-96 Purchase $14.50 9,600 24-Sep-96 Purchase $14.25 5,000 25-Sep-96 Purchase $14.25 50,000 25-Sep-96 Purchase $14.25 25,000 25-Sep-96 Purchase $14.25 10,000 30-Sep-96 Purchase $14.50 10,000 1-Oct-96 Purchase $14.50 5,000 1-Oct-96 Purchase $14.38 2,500 3-Oct-96 Purchase $14.56 5,000 4-Oct-96 Purchase $14.63 20,000 10-Oct-96 Purchase $15.13 75,000 14-Oct-96 Purchase $15.47 26,000 15-Oct-96 Purchase $16.25 5,500 16-Oct-96 Purchase $16.38 3,400 16-Oct-96 Purchase $16.50 10,000 17-Oct-96 Purchase $16.34 40,000 18-Oct-96 Purchase $16.38 39,000 21-Oct-96 Purchase $16.38 3,000 22-Oct-96 Purchase $16.29 30,000 23-Oct-96 Purchase $15.68 25,000 24-Oct-96 Purchase $15.50 25,000 25-Oct-96 Purchase $15.50 100,000 Outstanding Shares: -----END PRIVACY-ENHANCED MESSAGE-----