-----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, AU+ZyZsRnrlllXBsG6YJqdqTzV9rG89v8dvrypB1hwnx8O2UX7iTtFtd6lkeN+1W LnGTbhCeeJKF0OZKSUtN6g== 0001127337-04-000005.txt : 20040206 0001127337-04-000005.hdr.sgml : 20040206 20040206152619 ACCESSION NUMBER: 0001127337-04-000005 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040206 GROUP MEMBERS: RICHARD L. SIMONS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HARDINGE INC CENTRAL INDEX KEY: 0000313716 STANDARD INDUSTRIAL CLASSIFICATION: MACHINE TOOLS, METAL CUTTING TYPES [3541] IRS NUMBER: 160470200 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-20073 FILM NUMBER: 04574025 BUSINESS ADDRESS: STREET 1: ONE HARDING DRIVE CITY: ELMIRA STATE: NY ZIP: 14902 BUSINESS PHONE: 6077342281 MAIL ADDRESS: STREET 1: ONE HARDINGE DRIVE CITY: ELMIRA STATE: NY ZIP: 14902 FORMER COMPANY: FORMER CONFORMED NAME: HARDINGE BROTHERS INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SIMONS RICHARD L CENTRAL INDEX KEY: 0001127337 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 298 BECKWITH RD CITY: PINE CITY STATE: NY ZIP: 14871 BUSINESS PHONE: 6077342281 MAIL ADDRESS: STREET 1: 298 BECKWITH RD CITY: PINE CITY STATE: NY ZIP: 14871 SC 13D 1 edgar13d.txt RICHARD L. SIMONS SCHEDULE 13-D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* HARDINGE INC. (Name of Issuer) Common Stock, Par Value $.01 (Title of Class of Securities) 412324 30 3 (CUSIP Number) Richard L. Simons, Executive Vice President and Chief Financial Officer Hardinge Inc., One Hardinge Drive, P.O. Box 1507, Elmira, NY 14902-1507, Telephone: (607) 734-2281, with a copy to J. Philip Hunter, Esq., Sayles & Evans, One West Church Street, Elmira, NY 14901; Telephone: (607) 734-2271 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 30, 2004 (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 that is the subject of this Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ___ Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See 240.13d-7 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 "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). Page 1 of 5 Pages Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. CUSIP No. 412324 30 3 1. Richard L. Simons S.S.# ###-##-#### 2. (b) X 3. 4. Not Applicable 5. 6. U.S.A. 7. 75,548 8. 0 9. 75,548 10. 0 11. 75,548 12. 13. .853% 14. IN Page 2 of 5 Pages SCHEDULE 13D Item 1. Security and Issuer: Common Stock, Par Value $.01 ("Shares") Hardinge Inc. One Hardinge Drive P.O. Box 1507 Elmira, New York 14902 Item 2. Identity and Background: (a) Name Richard L. Simons (b) Business Address One Hardinge Drive P.O. Box 1507 Elmira, NY 14902-1507 (c) Present principal occupation Executive Vice President and Chief Financial Officer (d, e) Legal proceedings None (f) Citizenship U.S.A. - State of New York Item 3. Source and Amount of Funds or Other Consideration: Richard L. Simons has acquired shares of Hardinge Inc. common stock from time to time under various executive incentive stock plans of the Issuer, with personal funds. As of the date hereof, 72,888 shares are owned individually and 2,660 shares are held for Mr. Simons' account in the Issuer's Savings Plan. Page 3 of 5 Pages Item 4. Purpose of Transaction: Since Richard L. Simons' appointment as a co-trustee of the Issuer's Pension Plan on May 1, 2001, Mr. Simons' beneficial ownership has exceeded 5%. Mr. Simons resigned as co-trustee under said Plan on January 30, 2004 and the Issuer's 383,886 shares formerly held by him as co-trustee were transferred to the Issuer's Pension Plan trustee, Chemung Canal Trust Company. Mr. Simons' ownership is for investment purposes only and he has no plans to cause a change of control of Hardinge Inc. or to take any other action enumerated in Item 4 of Schedule 13D. Item 5. Interest in Securities of the Issuer: (a) Aggregate Number and Percentage Owned 75,548, .853% based on 8,857,849 shares outstanding on December 31, 2003 as reported by the Issuer. (b) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote 75,548 (ii) shared power to vote or to direct the vote 0 (iii) sole power to dispose or to direct the disposition of 75,548 (iv) shared power to dispose or to direct the disposition of 0 (c) Transactions during past sixty days: Since Richard L. Simons' appointment as a co-trustee of the Issuer's Pension Plan on May 1, 2001, Mr. Simons' beneficial ownership has exceeded 5%. Mr. Simons resigned as co-trustee under said Plan on January 30, 2004 and the Issuer's 383,886 shares formerly held by him as co-trustee were transferred to the Issuer's Pension Plan trustee, Chemung Canal Trust Company. (d) Rights of any other persons to owned Shares: Mr. Simons is aware of other persons with the right to receive or the power to direct and receive dividends from or the proceeds of the sale of, Shares, but to the best knowledge of Mr. Simons, none of such persons beneficially own more than 5% of the outstanding Shares, except those disclosed in the Issuer's most recent proxy statement and in one Schedule 13D filed since the filing date of said proxy statement. Page 4 of 5 Pages (e) Date upon which Ceased to be 5% Beneficial Owner: January 30, 2004 Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer: None Item 7. Material to Be Filed as Exhibit: None 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 6, 2004 Signature: ___________________________________ Name: Richard L. Simons Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----