-----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, V1+Tjz3WwDFyOcIJbcMJEzS1D5xbgDndpfZNUTg1xkMogQlUNRFSGoHy2QTa+bz6 AW7sbjxGSbZav+6q9qOxBg== 0000927016-97-000673.txt : 19970306 0000927016-97-000673.hdr.sgml : 19970306 ACCESSION NUMBER: 0000927016-97-000673 CONFORMED SUBMISSION TYPE: SC 13G/A CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970305 SROS: AMEX SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EASTERN CO CENTRAL INDEX KEY: 0000031107 STANDARD INDUSTRIAL CLASSIFICATION: CUTLERY, HANDTOOLS & GENERAL HARDWARE [3420] IRS NUMBER: 060330020 STATE OF INCORPORATION: CT FISCAL YEAR END: 1230 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-15810 FILM NUMBER: 00000000 BUSINESS ADDRESS: STREET 1: 112 BRIDGE ST STREET 2: P O BOX 460 CITY: NAUGATUCK STATE: CT ZIP: 06770 BUSINESS PHONE: 2037292255 MAIL ADDRESS: STREET 1: 112 BRIDGE STREET STREET 2: P O BOX 460 CITY: NAUGATUCK STATE: CT ZIP: 06770 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANK OF BOSTON CORP CENTRAL INDEX KEY: 0000036672 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 042471221 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 100 FEDERAL ST CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6174342200 FORMER COMPANY: FORMER CONFORMED NAME: FIRST NATIONAL BOSTON CORP DATE OF NAME CHANGE: 19830414 SC 13G/A 1 AMENDMENT NO. 9 TO SCHEDULE 13G THIS DOCUMENT IS A CONFIRMING COPY OF THE AMENDMENT NO. 9 TO SCHEDULE 13G FILED ON FEBRUARY 14, 1997 PURSUANT TO A RULE 201 TEMPORARY HARDSHIP EXEMPTION SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment No. 9 Eastern Company --------------- Name of Issuer Common, No Par Value -------------------- (Title of Class of Securities) 276317-10-4 ----------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ] Page 1 of 8 Pages CUSIP NO. 276317-10-04 Page 2 of 8 Pages - -------------------------------------------------------------------------------- 1) Names of Reporting Persons Bank of Boston Corporation S.S. or I.R.S. Identification (04-247-1221) Nos. of Above Persons - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) [ ] if a Member of a Group (b) [ ] (See Instructions) - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization Holding Company-Massachusetts - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 332,627 Beneficially (6) Shared Voting Power 99,006 Owned by Each (7) Sole Dispositive Reporting Person Power 320,838 With (8) Shared Dispositive Power 110,795 - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 431,633 - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount In Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 16.01% - -------------------------------------------------------------------------------- 12) Type of Reporting Person (See Instructions) HC CUSIP NO. 276317-10-4 Page 3 of 8 Pages - -------------------------------------------------------------------------------- 1) Names of Reporting Persons Bank of Boston Connecticut S.S. or I.R.S. Identification (06-046-9655) Nos. of Above Persons - ------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) [ ] if a Member of a Group (b) [ ] (See Instructions) - ------------------------------------------------------------------------------- 3) SEC Use Only - ------------------------------------------------------------------------------- 4) Citizenship or Place of Organization Bank - USA - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 332,627 Beneficially (6) Shared Voting Power 99,006 Owned by Each (7) Sole Dispositive Reporting Person Power 320,838 With (8) Shared Dispositive Power 110,795 - ------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 431,633 - ------------------------------------------------------------------------------- 10) Check if the Aggregate Amount In Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 16.01% - -------------------------------------------------------------------------------- 12) Type of Reporting Person (See Instructions) BK Page 4 of 8 Pages SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 9 Item 1. (a) Name of Issuer: Eastern Company ---------------------------- (b) Address of Issuer's 112 Bridge Street ---------------------------- Principal Executive Naugatuck, CT 06770 ---------------------------- Office: ---------------------------- Item 2. (a) Name of Person Bank of Boston Corporation ---------------------------- Filing: on its own behalf as indirect owner ---------------------------- and on behalf of its subsidiary, Bank of Boston Connecticut (b) Address of Principal 100 Federal Street ---------------------------- Business Office or, if Boston, Massachusetts 02110 -------------------------- none, Residence: ---------------------------- (c) Citizenship: Holding Company - Massachusetts ---------------------------- Bank - Connecticut (d) Title Class of ---------------------------- Securities: Common, No Par Value ---------------------------- (e) CUSIP Number: 276317-10-4 ---------------------------- Item 3. This statement is filed pursuant to Rule 13d-1(b). The persons filing are a parent holding company, in accordance with Reg. section 240.13d-1(b)(ii)(G), and a bank, in accordance with Reg. section 240.13d-1(b)(ii)(B) of the Securities Exchange Act of 1934. Item 4. Ownership: --------- (a) Amount Beneficially ------------------- Owned: See Item 9, Cover Page ----- (b) Percent of Class: See Item 11, Cover Page ---------------- (c) Number of Shares as to Which ---------------------------- Such Person Has --------------- (i) Sole Power to Vote or to Direct the vote (ii) Shared Power to Vote or to Direct the vote (iii) Sole Power to Dispose or Direct the Disposition of: (iv) Shared Power to Dispose to or Direct the Disposition of: For (c), see Item 5-8, Cover Page Page 5 of 8 Pages 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 beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person: --------------------------------------------------------------- Not Applicable. Item 7. Identification and Classification of the Subsidiary which has Acquired ---------------------------------------------------------------------- the Security Being Reported on by the Parent Holding Company: ------------------------------------------------------------- Bank as defined in Section 3(a)(6) of the Securities Exchange Act of 1934. Item 8. Identification and Classification of Member of the Group. -------------------------------------------------------- Not Applicable. Item 9. Notice of Dissolution of Group. ------------------------------ Not Applicable. Item 10. CERTIFICATION: ------------- See Exhibit A By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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. Date: February 14, 1997 Bank of Boston Corporation By: /s/ Robert T. Jefferson ------------------------ Name: Robert T. Jefferson ---------------------------- Title: Comptroller ----------- Page 6 of 8 Pages Bank of Boston Connecticut By: /s/ David H. Thompson -------------------------------- Name: David H. Thompson --------------------------------- Title: Director of Fund Management Page 7 of 8 Pages EXHIBIT A --------- AGREEMENT The undersigned hereby agree, pursuant to Section 240.13d-1(f)(1) that Bank of Boston Corporation may file a Schedule 13G pursuant to Rule 13d-1 under the Securities Exchange Act of 1934, and all amendments to such Schedule, with respect to shares of Eastern Company Common Stock, No Par Value, on behalf of itself and Bank of Boston Connecticut. Dated: February 14, 1997 Bank of Boston Corporation By: /s/ Robert T. Jefferson ----------------------- Robert T. Jefferson Comptroller Page 8 of 8 Pages Bank of Boston Connecticut By: /s/ David H. Thompson -------------------------------------- Name: David H. Thompson ------------------------------- Title: Director of Fund Management INCUMBENCY CERTIFICATE OF AUTHORIZED REPRESENTATIVE I, the undersigned, Katherine A. McDonough , Assistant Secretary of the Board of Directors of Bank of Boston Connecticut, do hereby certify that David H. Thompson is a duly elected Director of Fund Management of the Bank, and also has the power and authority to sign the attached Statements on Schedule 13G in the name and on behalf of the Bank. In witness whereof, I have set my hand and seal of the Bank this 12th day of February, 1997. By: /s/ Katherine A. McDonough --------------------------- Katherine A. McDonough Assistant Secretary of the Board of Directors -----END PRIVACY-ENHANCED MESSAGE-----