-----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, GaWfWAoYswlhyaIirRiIz6XGihnYfEykWesanLZxBl4XVpYQAx5bbA0nvads//IR ugi3Rphi8H0eKJtVPGZB3Q== 0001193125-06-175814.txt : 20060818 0001193125-06-175814.hdr.sgml : 20060818 20060818103120 ACCESSION NUMBER: 0001193125-06-175814 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20060818 DATE AS OF CHANGE: 20060818 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEWMARKET CORP CENTRAL INDEX KEY: 0001282637 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL ORGANIC CHEMICALS [2860] IRS NUMBER: 000000000 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80367 FILM NUMBER: 061042472 MAIL ADDRESS: STREET 1: 330 S FOURTH ST STREET 2: PO BOX 2189 CITY: RICHMOND STATE: VA ZIP: 23218-2189 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOTTWALD BRUCE C CENTRAL INDEX KEY: 0000919561 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: BUSINESS PHONE: 8046445411 MAIL ADDRESS: STREET 1: 120 TREDEGAR ST CITY: RICHMOND STATE: VA ZIP: 23219 SC 13D/A 1 dsc13da.htm BRUCE C. GOTTWALD BRUCE C. GOTTWALD

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D

 

Under the Securities Exchange Act of 1934

(Amendment No. 1)

 

 

 

NEWMARKET CORPORATION

(Name of Issuer)

 

COMMON STOCK

(Title of Class of Securities)

 

651587 10 7

(CUSIP NUMBER)

 

Bruce C. Gottwald

330 South Fourth Street

Richmond, Virginia 23219

Telephone No. 804-788-5000

(Name, address and telephone number of person authorized to receive notices and communications)

 

Copy to:

Allen C. Goolsby, Esq.

Hunton & Williams LLP

Riverfront Plaza - East Tower

951 East Byrd Street

Richmond, Virginia 23219

July 31, 2006

(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(e), 13d-1(f) or 13d-1(g), check the following box   ¨.

CUSIP No. 651587 10 7    13D   

 

  1  

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

            Bruce C. Gottwald

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨

(b)  x

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS*

 

            PF, BK

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)

 

   ¨
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            USA

    
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH		  

  7    SOLE VOTING POWER

 

                1,587,232

 

  8    SHARED VOTING POWER

 

                18,731

 

  9    SOLE DISPOSITIVE POWER

 

                1,587,232

   

10    SHARED DISPOSITIVE POWER

 

                18,731

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            1,605,963

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

43,720 shares held by a charitable foundation; an aggregate of 637,220 shares owned by three separate trusts of which each of the Reporting Person’s adult sons and his wife are the co-trustees; and an aggregate of 389,887 shares owned by the Reporting Person’s adult sons (including shares as to which the adult sons have shared voting and dispositive power)

  

x

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

            9.31%

    
14  

TYPE OF REPORTING PERSON*

 

            IN

    

*SEE INSTRUCTIONS BEFORE FILLING OUT!

* Amendment No. 1 amends and supplements the statement on Schedule 13D initially filed on February 14, 2006 by Bruce C. Gottwald (“Mr. Gottwald”) with respect to shares of common stock, without par value (the “Common Stock”), of NewMarket Corporation (the “Issuer”). The purpose for the filing of Amendment No. 1 is to update the reported beneficial ownership of the Issuer’s Common Stock by Mr. Gottwald.

Item 3. Source and Amount of Funds or Other Consideration.

Mr. Gottwald used a combination of his personal funds and the proceeds from commercial bank loans made in the ordinary course of business from SunTrust Bank to acquire all 235,752 shares of the Issuer’s Common Stock listed on Schedule I hereto.

Item 4. Purpose of Transaction.

Mr. Gottwald purchased the additional shares of the Issuer’s Common Stock listed on Schedule I hereto to increase his beneficial interest in the Issuer, which Mr. Gottwald believes is an attractive investment. Except for occasional gifts and other transactions among family members, Mr. Gottwald intends to hold for investment the shares of the Issuer’s Common Stock that he owns. However, depending upon his evaluation of the Issuer’s business and prospects and upon future developments, including, but not limited to, stock market and general economic conditions, Mr. Gottwald may from time to time acquire additional shares, or dispose of shares, of the Issuer’s Common Stock.

Mr. Gottwald does not have any plans to engage in any extraordinary transactions involving the Issuer or any of its subsidiaries, such as a merger, reorganization or liquidation, nor does he have any plans (i) to sell or transfer a material amount of the Issuer’s assets, (ii) to make any material change in the present capitalization or dividend policy of the Issuer, (iii) to change the board of directors or management of the Issuer, (iv) to make any other material change in the Issuer’s business or corporate structure, (v) to make any change in the Issuer’s articles of incorporation or bylaws or other actions that may impede the acquisition of control of the Issuer by any person, (vi) to cause a class of the Issuer’s securities to be delisted from a national securities exchange or to cease to be authorized to be quoted on an inter-dealer quotation system of a registered national securities association, (vii) to cause a class of equity securities of the Issuer to become eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or (viii) any action similar to any of those described in this Item 4.

Item 5. Interest in Securities of the Issuer.

 

  (a) 1,649,683 shares of Common Stock of the Issuer are owned beneficially by Mr. Gottwald, constituting 9.56% of such shares outstanding.1/

 

  (b) Number of shares as to which such persons have:

 

  (i) sole power to vote or to direct the vote - 1,587,232

  (ii) shared power to vote or to direct the vote - 62,451 2/

 

  (iii) sole power to dispose of or to direct the disposition of - 1,587,232

 

  (iv) shared power to dispose of or to direct the disposition of 62,451 2/
1/ This amount does not include an aggregate of 637,220 (3.69%) shares of the Issuer’s Common Stock beneficially owned by three separate trusts of which each of the adult sons of Bruce C. Gottwald and his wife are the co-trustees or an aggregate of 389,887 (2.26%) shares of the Issuer’s Common Stock beneficially owned by the adult sons of Bruce C. Gottwald. Bruce C. Gottwald and his adult sons have no agreement with respect to the acquisition, retention, disposition or voting of the Issuer’s Common Stock. The filing of this statement on Schedule 13D shall not be construed as an admission that, for the purposes of Section 13(d) or 13(g) of the Exchange Act, Bruce C. Gottwald is the beneficial owner of the 62,451 shares described in Items 5(b)(ii) and (iv). See Item 5(d) below.
2/ This amount includes 43,720 shares owned by a charitable foundation for which Bruce C. Gottwald serves as one of the directors and 18,731 shares owned by Mr. Gottwald’s wife. Bruce C. Gottwald disclaims any beneficial interest in any shares held in the foundation or held by his wife. This amount does not include shares owned of record by Merrill Lynch Trust Company, as Trustee under the Issuer’s savings plan (the “Plan”) for its employees that are held for the benefit of employees. Shares held under the Plan are voted by the Trustee in accordance with instructions solicited from employees participating in the Plan. If a participating employee does not give the Trustee voting instructions, his shares are voted by the Trustee in accordance with management’s recommendations to the shareholders. Because Bruce C. Gottwald is a director of the Issuer, his son, Thomas E. Gottwald, is the Chief Executive Officer and a director of the Issuer and members of the Gottwald family are the largest shareholders of the Issuer, they may be deemed to be control persons of the Issuer and to have the capacity to control any such recommendation of management.

 

  (c) Other than the acquisition of the 235,752 shares of the Issuer’s Common Stock set forth on Schedule I hereto, Mr. Gottwald has not engaged in any transactions in the Issuer’s Common Stock in the past 60 days.

 

  (d) Other persons have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, all 62,451 shares described in Items 5(b)(ii) and (iv). However, none of such persons’ individual interest relates to more than 5% of the class of securities for which this Schedule is filed.

Item 7. Material to be Filed as Exhibits.

 

  Exhibit 1 Power of Attorney for Bruce C. Gottwald.

Schedule I

 

Reporting Person

   

Date

   

Amount of Shares

Purchased(1)

   

Price Per Share

(excluding commissions)

Bruce C. Gottwald         
   February 27, 2006(2)    30,352    $ 32.35
   March 3, 2006(2)    8,000    $ 36.00
   March 22, 2006(2)    112,000    $ 42.00
   July 31, 2006    100    $ 48.57
   July 31, 2006    900    $ 48.62
   July 31, 2006    100    $ 48.64
   July 31, 2006    100    $ 49.02
   July 31, 2006    300    $ 49.03
   July 31, 2006    100    $ 49.04
   July 31, 2006    400    $ 49.05
   July 31, 2006    300    $ 49.07
   July 31, 2006    400    $ 49.09
   July 31, 2006    2,700    $ 49.10
   July 31, 2006    100    $ 49.31
   July 31, 2006    800    $ 49.36
   July 31, 2006    300    $ 49.38
   July 31, 2006    700    $ 49.39
   July 31, 2006    100    $ 49.40
   July 31, 2006    100    $ 49.41
   July 31, 2006    1,700    $ 49.45
   July 31, 2006    400    $ 49.46
   July 31, 2006    1,100    $ 49.47
   July 31, 2006    1,800    $ 49.48
   July 31, 2006    2,900    $ 49.49
   July 31, 2006    14,600    $ 49.50
   July 31, 2006    400    $ 49.53
   July 31, 2006    2,500    $ 49.54
   July 31, 2006    3,900    $ 49.55
   July 31, 2006    200    $ 49.59
   July 31, 2006    1,000    $ 49.73

Reporting Person

   

Date

   

Amount of Shares

Purchased(1)

    Price Per Share
(excluding commissions)
   July 31, 2006    600    $ 49.79
   July 31, 2006    500    $ 49.80
   July 31, 2006    900    $ 49.82
   August 1, 2006    500    $ 47.65
   August 1, 2006    200    $ 47.66
   August 1, 2006    500    $ 47.67
   August 1, 2006    800    $ 47.68
   August 1, 2006    5,000    $ 47.69
   August 1, 2006    1,000    $ 47.70
   August 1, 2006    300    $ 47.71
   August 1, 2006    400    $ 47.85
   August 1, 2006    200    $ 47.90
   August 1, 2006    400    $ 47.91
   August 1, 2006    1,800    $ 47.92
   August 1, 2006    200    $ 47.93
   August 1, 2006    500    $ 47.95
   August 1, 2006    800    $ 47.96
   August 1, 2006    500    $ 47.97
   August 1, 2006    500    $ 48.04
   August 1, 2006    200    $ 48.05
   August 1, 2006    200    $ 48.06
   August 1, 2006    400    $ 48.13
   August 1, 2006    100    $ 48.14
   August 1, 2006    300    $ 48.15
   August 1, 2006    200    $ 48.16
   August 1, 2006    200    $ 48.19
   August 1, 2006    425    $ 48.25
   August 1, 2006    300    $ 48.32
   August 1, 2006    100    $ 48.36
   August 1, 2006    300    $ 48.37
   August 1, 2006    300    $ 48.38
   August 1, 2006    300    $ 48.39
   August 1, 2006    300    $ 48.40

Reporting Person

   

Date

   

Amount of Shares

Purchased(1)

    Price Per Share
(excluding commissions)
   August 1, 2006    225    $ 48.41
   August 1, 2006    100    $ 48.42
   August 1 2006    400    $ 48.44
   August 1, 2006    400    $ 48.45
   August 1, 2006    100    $ 48.47
   August 1, 2006    900    $ 48.48
   August 1, 2006    200    $ 48.49
   August 1, 2006    1,000    $ 48.50
   August 1, 2006    1,000    $ 48.51
   August 1, 2007    400    $ 48.52
   August 1, 2006    800    $ 48.54
   August 1, 2006    475    $ 48.56
   August 1, 2006    100    $ 48.57
   August 1, 2006    575    $ 48.58
   August 1, 2006    700    $ 48.59
   August 1, 2006    6,000    $ 48.60
   August 1, 2006    800    $ 48.62
   August 1, 2006    500    $ 48.70
   August 1, 2006    500    $ 48.80
   August 1, 2006    500    $ 48.99
   August 1, 2006    300    $ 49.00
   August 1, 2006    200    $ 49.20
   August 2, 2006    200    $ 49.11
   August 2, 2006    300    $ 49.15
   August 2, 2006    500    $ 49.22
   August 2, 2006    300    $ 49.25
   August 2, 2006    400    $ 49.27
   August 2, 2006    600    $ 49.29
   August 2, 2006    200    $ 49.30
   August 2, 2006    100    $ 49.35
   August 2, 2006    200    $ 49.40
   August 2, 2006    100    $ 49.41
   August 2, 2006    900    $ 49.42

Reporting Person

   

Date

   

Amount of Shares

Purchased(1)

    Price Per Share
(excluding commissions)
   August 2, 2006    100    $ 49.44
   August 2, 2006    100    $ 49.45
   August 2, 2006    100    $ 49.46
   August 2, 2006    750    $ 49.50
   August 2, 2006    200    $ 49.52
   August 2, 2006    1,200    $ 49.53
   August 2, 2006    300    $ 49.54
   August 2,, 2006    200    $ 49.58
   August 2, 2006    1,800    $ 49.60
   August 2, 2006    200    $ 49.62
   August 2, 2006    200    $ 49.64
   August 2, 2006    200    $ 49.65
   August 2, 2006    100    $ 49.66
   August 2, 2006    150    $ 49.68
   August 2, 2006    200    $ 49.69
   August 2, 2006    500    $ 49.71
   August 2, 2006    1,100    $ 49.75
   August 2, 2006    100    $ 49.79
   August 2, 2006    200    $ 49.80
   August 2, 2006    100    $ 49.91
   August 2, 2006    400    $ 49.92
   Total    235,752   
(1) Except as noted, all purchases were effected on the New York Stock Exchange.
(2) Private purchase.

SIGNATURES

After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

 

August 18, 2006  

/s/ M. Rudolph West

  M. Rudolph West
  Attorney-in-fact pursuant to a power of attorney filed as an exhibit to this Amendment No. 1

EXHIBIT INDEX

Exhibit 1 Power of Attorney for Bruce C. Gottwald.

EX-1 2 dex1.htm POWER OF ATTORNEY POWER OF ATTORNEY

Exhibit 1

NEWMARKET CORPORATION

330 SOUTH FOURTH STREET

POST OFFICE BOX 2189

RICHMOND, VIRGINIA 23218-2189

POWER OF ATTORNEY

Know all by these presents, that the undersigned hereby constitutes and appoints each of Steven M. Edmonds and M. Rudolph West, signing singly, the undersigned’s true and lawful attorney-in-fact to:

 

(1) execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer and/or director of NewMarket Corporation (the “Company”), a Schedule 13D in accordance with Section 13 of the Securities Exchange Act of 1934 and the rules thereunder;

 

(2) do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and execute any such Schedule 13D, complete and execute any amendment or amendments thereto, and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and

 

(3) take any other action of any type whatsoever in connection with the foregoing that, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in- fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 13 of the Securities Exchange Act of 1934.

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file a Schedule 13D with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 25th day of July, 2006.

 

/s/ Bruce C. Gottwald

Signature

Bruce C. Gottwald

Print Name

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