0001072613-12-000179.txt : 20120214 0001072613-12-000179.hdr.sgml : 20120214 20120214125958 ACCESSION NUMBER: 0001072613-12-000179 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 GROUP MEMBERS: GE ASSET MANAGEMENT INC. GROUP MEMBERS: GENERAL ELECTRIC CO FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRUSTEES OF GENERAL ELECTRIC PENSION TRUST CENTRAL INDEX KEY: 0000902967 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 000000000 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3003 SUMMER STREET STREET 2: P O BOX 7900 CITY: STAMFORD STATE: CT ZIP: 06904-7900 BUSINESS PHONE: 2033262300 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DOUGLAS DYNAMICS, INC CENTRAL INDEX KEY: 0001287213 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 134275891 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-85472 FILM NUMBER: 12606829 BUSINESS ADDRESS: STREET 1: 7777 NORTH 73RD ST CITY: MILWAUKEE STATE: WI ZIP: 53233 BUSINESS PHONE: 414-362-3940 MAIL ADDRESS: STREET 1: 7777 NORTH 73RD ST CITY: MILWAUKEE STATE: WI ZIP: 53233 FORMER COMPANY: FORMER CONFORMED NAME: DOUGLAS DYNAMICS HOLDINGS INC DATE OF NAME CHANGE: 20040415 SC 13G/A 1 douglas-sch13ga_17259.htm DOUGLAS DYNAMICS, INC. douglas-sch13ga_17259.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G
(Rule 13d-102)
 
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)1
(Amendment No. 1)
 
 
Douglas Dynamics, Inc.
(Name of Issuer)
 
COMMON STOCK
(Title of Class of Securities)
 
25960R105
(CUSIP Number)
 
December 31, 2011
(Date of Event Which Requires Filing of this Statement)
 
 
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
o      Rule 13d-1(b)
 
o      Rule 13d-1(c)
 
x      Rule 13d-1(d)
________________________________
1 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 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).
 
 
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CUSIP No. 25960R105
    
 
           
1.   NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
 
Trustees of General Electric Pension Trust
I.R.S. # 14-6015763
   
 
     
2.   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
 
(a)   o
 
(b)  x
     
3.   SEC USE ONLY
   
   
     
4.   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  State of New York
       
  5.   SOLE VOTING POWER
     
NUMBER OF
   0
       
SHARES
 6.   SHARED VOTING POWER
BENEFICIALLY
    
OWNED BY
  
0
       
EACH
 7.   SOLE DISPOSITIVE POWER
REPORTING
    
PERSON
   0
       
WITH:
 8.   SHARED DISPOSITIVE POWER
     
   
0
     
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
 
0
     
10.   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
   
 
(SEE INSTRUCTIONS)               o
     
11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
 
0.00%
     
12.   TYPE OF REPORTING PERSON *
   
  EP
 
 
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CUSIP No. 25960R105
    
 
           
1.   NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
 
GE Asset Management Incorporated, as Investment Manager of GEPT (as defined below) and as Investment Adviser to certain other entities and accounts
I.R.S. #06-1238874
   
 
     
2.   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
 
(a)   o
 
(b)  x
     
3.   SEC USE ONLY
   
   
     
4.   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  State of Delaware
       
  5.   SOLE VOTING POWER
     
NUMBER OF
   0
       
SHARES
 6.   SHARED VOTING POWER
BENEFICIALLY
    
OWNED BY
  
0
       
EACH
 7.   SOLE DISPOSITIVE POWER
REPORTING
    
PERSON
   0
       
WITH:
 8.   SHARED DISPOSITIVE POWER
     
   
0
     
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
 
0
     
10.   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
   
 
(SEE INSTRUCTIONS)            o
     
11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  0.00%
     
12.   TYPE OF REPORTING PERSON *
   
  IA, CO
 
 
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CUSIP No. 25960R105
    
 
           
1.   NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
 
General Electric Company
I.R.S. #14-0689340
   
 
     
2.   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
 
(a)   o
 
(b)  x
     
3.   SEC USE ONLY
   
   
     
4.   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  State of New York
       
  5.   SOLE VOTING POWER
     
NUMBER OF
   0
       
SHARES
 6.   SHARED VOTING POWER
BENEFICIALLY
    
OWNED BY
   0
       
EACH
 7.   SOLE DISPOSITIVE POWER
REPORTING
    
PERSON
   0
       
WITH:
 8.   SHARED DISPOSITIVE POWER
     
    0
     
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
 
0
     
10.   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
   
 
(SEE INSTRUCTIONS)              x
     
11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  0.00%
     
12.   TYPE OF REPORTING PERSON *
   
  CO
 
* SEE INSTRUCTIONS BEFORE FILING OUT!
 
 
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CUSIP No. 25960R105
    

INTRODUCTORY NOTE:  This Amendment No. 1 amends the Schedule 13G filed on behalf of General Electric Company, a New York corporation ("GE"), GE Asset Management Incorporated, a Delaware corporation and a wholly owned subsidiary of GE ("GEAM") and the Trustees of General Electric Pension Trust, a New York common law trust ("GEPT") on February 14, 2011 (the "Schedule 13G”).  GEAM is a registered investment adviser and acts as Investment Manager of GEPT and as Investment Adviser to certain other entities and accounts.  GEAM may previously have be deemed to be the beneficial owner of 1,469,254 shares of Common Stock of Douglas Dynamics, Inc. (the "Issuer") owned by GEPT.  GEAM and GEPT each expressly disclaim that they are members of a "group."  GE disclaimed beneficial ownership of all shares and expressly disclaims that it is a member of a "group."
 
The Items from the Schedule 13G are hereby amended to read as follows:
 
Item 4
Ownership

 
GEPT
 
GEAM
 
GE
 
(a)   Amount beneficially owned
 
0
 
0
 
0
 
(b)   Percent of class
 
0.00%
 
0.00%
0.00%
 
(c)   No. of shares to which person has
 
      
(i)   sole power to vote or direct the vote
 
0
 
0
 
0
 
(ii)   shared power to vote or direct the vote
 
0
 
0
 
0
 
(iii)   sole power to dispose or to direct disposition
 
0
 
0
 
0
 
(iv)   shared power to dispose or to direct disposition
 
0
 
0
 
0
 
 
Item 5
Ownership of Five Percent or Less of a Class
 
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following:  x
 
Item 10
Certification
 
 
Not Applicable

 
 
 
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CUSIP No. 25960R105
    
 
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.
 
Dated:             February 14, 2012
 
     
  GENERAL ELECTRIC PENSION TRUST
 
 		 By:  
GE Asset Management Incorporated, its Investment Manager

 
  By:   /s/ Michael M. Pastore
 
Name:   Michael M. Pastore
  Title:     Senior Vice President - Deputy General Counsel & Assistant Secretary
 
     
 
GE ASSET MANAGEMENT INCORPORATED
 
 		    
  By:   /s/ Michael M. Pastore
 
Name:   Michael M. Pastore
  Title:     Senior Vice President - Deputy General Counsel & Assistant Secretary
 
     
 
GENERAL ELECTRIC COMPANY
 
 		    
  By:   /s/ Dmitri A. Stockton
 
Name:   Dmitri A. Stockton
  Title:     Senior Vice President 

 
 
 
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  Schedule I

JOINT FILING AGREEMENT

This will confirm the agreement by and between all the undersigned that the Schedule 13G on or about this date and any amendments thereto with respect to the beneficial ownership by the undersigned of shares of the Common Stock of Douglas Dynamics, Inc. is being filed on behalf of each of the undersigned.
 
Dated:           February 14, 2012
 
     
  GENERAL ELECTRIC PENSION TRUST
 
 		 By:  
GE Asset Management Incorporated, its Investment Manager

 
  By:   /s/ Michael M. Pastore
 
Name:   Michael M. Pastore
  Title:     Senior Vice President - Deputy General Counsel & Assistant Secretary
 
     
 
GE ASSET MANAGEMENT INCORPORATED
 
 		    
  By:   /s/ Michael M. Pastore
 
Name:   Michael M. Pastore
  Title:     Senior Vice President - Deputy General Counsel & Assistant Secretary
 
     
 
GENERAL ELECTRIC COMPANY
 
 		    
  By:   /s/ Dmitri A. Stockton
 
Name:   Dmitri A. Stockton
  Title:     Senior Vice President 
 
 
 
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  Schedule II

 
 
 
 

 
TRUSTEES OF GENERAL ELECTRIC PENSION TRUST
 
3001 Summer Street, P.O. Box 7900
Stamford, Connecticut 06904
 
The names of the Trustees of General Electric Pension Trust are as follows:
 

 
Dmitri A. Stockton
 
Paul M. Colonna
 
Michael T. Cosgrove
 
Ralph R. Layman
 
Matthew J. Simpson
 
Donald W. Torey
 
Gregory B. Hartch
 
David W. Wiederecht
 
Tracie A. Winbigler
 
George A. Bicher
 
 
 
 
 
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