-----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, J1NarBmEHxKc3cwIoxUPNBE2BtPMwojBzfCnssD/AHb6I3R4Mj8xm7t2iAgQ4gdD UCiM+EmLaYyVqmJX9xJNog== 0000950115-97-000282.txt : 19970303 0000950115-97-000282.hdr.sgml : 19970303 ACCESSION NUMBER: 0000950115-97-000282 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970228 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: D&E COMMUNICATIONS INC CENTRAL INDEX KEY: 0001011737 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 232837108 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-50547 FILM NUMBER: 97547846 BUSINESS ADDRESS: STREET 1: BROSSMAN BUSINESS COMPLEX STREET 2: 124 EAST MAIN ST CITY: EPHRATA STATE: PA ZIP: 17522 BUSINESS PHONE: 7177334101 MAIL ADDRESS: STREET 1: BROSSMAN BUSINESS COMPLEX STREET 2: 124 EAST MAIN STREET CITY: EPHRATA STATE: PA ZIP: 17522 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SWEIGART ANNE B CENTRAL INDEX KEY: 0000939839 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 180015107 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 207 EAST MAIN ST CITY: EPHRATA STATE: PA ZIP: 17222 BUSINESS PHONE: 7177388222 MAIL ADDRESS: STREET 1: 207 EAST MAIN ST CITY: EPHRATA STATE: PA ZIP: 17222 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 D & E Communications, Inc. (Name of Issuer) COMMON STOCK, PAR VALUE $.16 PER SHARE -------------------------------------- (Title of Class of Securities) 232860106 --------- (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 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). - -------------------------------- --------------------------- CUSIP No. 232860106 13G Page 2 of 6 Pages - -------------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS: Anne B. Sweigart - -------------------------------------------------------------------------------- (a) / / 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (b) /X/ (SEE INSTRUCTIONS) - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- Number of Shares 5 SOLE VOTING POWER 2,157* Beneficially Owned by Each Reporting Person With - -------------------------------------------------------------------------------- 6 SHARED VOTING POWER 3,158,106 - -------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 334,867 - -------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 36,000 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH 3,158,106 REPORTING PERSON - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES X CERTAIN SHARES (SEE INSTRUCTIONS) - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 54.79% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- *Each voting trustee who is also a shareholder and director of the Issuer (i.e., Ronald E. Frisbie, W. Garth Sprecher, Anne Sweigart and John Amos) has the right to retain 100 shares in their own name outside of the Voting Trust plus they retain the right to vote all shares held in their individual names in a company stock plan such as the Issuer's Employee Stock Purchase Plan, Employee Stock Ownership or Dividend Reinvestment Plan. -2- Item 1(a). Name of Issuer: D & E Communications, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 124 East Main Street, P.O. Box 458, Ephrata, PA 17522-0458 Item 2(a). Name of Person Filing: Anne B. Sweigart Item 2(b). Address of Principal Business Office or, if none, Residence: 150 East Main Street, Ephrata, PA 17522 Item 2(c). Citizenship: United States Item 2(d). Title of Class of Securities: Common Stock, Par Value $.16 Per Share Item 2(e). CUSIP Number: 232860106 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: Not Applicable Item 4. Ownership (a) Amount Beneficially Owned: 3,158,106 shares (b) Percent of Class: 54.79% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 2,157 -3- (ii) shared power to vote or to direct the vote: 3,158,106 shares (iii) sole power to dispose or to direct the disposition of: 334,867 Mrs. Sweigart and certain other shareholders of the issuer are parties to a Voting Trust Agreement, dated as of November 19, 1992, and amended as of December 31, 1995 ("Voting Trust"), pursuant to which the Voting Trustees named therein have the right to exercise shared voting power on all matters submitted to the issuer's shareholders for a vote, but not investment power with respect to such shares. Mrs. Sweigart is a voting trustee of the Voting Trust and therefore exercises shared voting powers with the other trustees over the shares referenced in Item 4(c)(ii) but exercises sole investment power with respect to the shares referenced in Item 4(c)(iii). Mrs. Sweigart disclaims beneficial ownership of the shares referenced in Item 4(c)(ii). By its terms, the Voting Trust Agreement expires November 17, 2002. (iv) shared power to dispose or to direct the disposition of: 36,000 Mrs. Sweigart is co-trustee of a separate trust which also owns shares which have been contributed to the Voting Trust, and as such, she exercises shared investment power, but no voting power, with respect to such shares. Mrs. Sweigart disclaims beneficial ownership of these 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 Class of Members of the Group -4- Not Applicable Item 9. Notice of Dissolution of Group Not Applicable Item 10. Certification Not Applicable Exhibits -5- 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 27, 1997 ----------------------------- Date /s/ Anne B. Sweigart ----------------------------- Signature Anne B. Sweigart/ ----------------------------- Name/Title 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 27, 1997 ----------------------------- Date ----------------------------- Signature Anne B. Sweigart/ ----------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----