-----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, Tktmh1QoglccwO67mFGsMz4oazNbmM+W8dtcJAif2dt7s4m3/6YsW2kpmFKsxSTz JJm6Sgfgzh1W58sy4lQL2g== 0000893838-96-000101.txt : 19961220 0000893838-96-000101.hdr.sgml : 19961220 ACCESSION NUMBER: 0000893838-96-000101 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961219 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LINCOLN NATIONAL CORP CENTRAL INDEX KEY: 0000059558 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 351140070 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-08253 FILM NUMBER: 96683454 BUSINESS ADDRESS: STREET 1: 200 EAST BERRY STREET STREET 2: PO BOX 1110 CITY: FORT WAYNE STATE: IN ZIP: 46802 BUSINESS PHONE: 2194552000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DAI ICHI MUTUAL LIFE INSURANCE CO CENTRAL INDEX KEY: 0000948518 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 13-1 YURAKUCHO 1 - CHOME CITY: CHIYODA KU JAPAN SC 13D/A 1 SCHEDULE 13D AMENDMENT NO. 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Lincoln National Corporation - ----------------------------------------------------------------------------- (Name of Issuer) Common Stock, without par value - ----------------------------------------------------------------------------- (Title of Class of Securities) 534187 10 9 - ----------------------------------------------------------------------------- (CUSIP Number) - ----------------------------------------------------------------------------- The Dai-ichi Mutual Life Insurance Company 13-1, Yurakucho 1-chome Chiyoda-ku, Tokyo 100 011-813-5221-4340 Attn: General Manager, International - ----------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 18, 1996 - ---------------------------------------------------------------------------- (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(b)(3) or (4), check the following box |_| Check the following box if a fee is being paid with the statement |_|. (A fee is not required only if the reporting 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.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) 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 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). SCHEDULE 13D CUSIP No. 534187 10 9 Page 2 of 8 Pages --------- - -------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Dai-ichi Mutual Life Insurance Company - -------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------- -------------------------------------------------------------------- 3 SEC USE ONLY - -------- -------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - -------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Japan - ------------------ ------- -------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 6,754,311 ------- -------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY -0- ------- -------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 6,754,311 ------- -------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH -0- - ------------------ ------- -------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,754,311 - -------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.5% - -------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IC, CO - -------- -------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. CUSIP NO. 534187 10 9 13D Page 3 of 8 Pages Preamble The Schedule 13D, dated July 6, 1990, as amended June 4, 1991 and January 24, 1996, filed by The Dai-ichi Mutual Life Insurance Company, a Japanese mutual life insurance company ("Dai-ichi") with respect to the common stock without par value (the "Common Stock") of Lincoln National Corporation, an Indiana corporation (the "Company") is hereby amended as set forth below. Item 2 Identity and Background Item 2 is amended to read in its entirety as follows: (a); (b) This statement is filed by The Dai-ichi Mutual Life Insurance Company, a Japanese mutual life insurance company. Dai-ichi's principal business is insurance and the address of its principal business and its principal office is 13-1, Yurakucho 1-chome, Chiyoda-ku, Tokyo 100. DIRECTORS AND EXECUTIVE OFFICERS OF DAI-ICHI NAME TITLE BUSINESS ADDRESS Shin-ichi Nishio Chairman of the Board Y Takahide Sakurai President Y Hisamoto Nagai Deputy President Y Tomijiro Morita Deputy President Y Yukio Ono Senior Managing Director Y Susumu Ensaka Senior Managing Director Y Yoshiyuki Kawakami Senior Managing Director OS Masami Tabei Senior Managing Director Y Masao Tsuji Senior Managing Director Y Seizo Yamanoi Managing Director KO Ryozo Nishigaki Managing Director O Susumu Tokunaga Managing Director Y Masao Miyamoto Managing Director KO Akira Yashiro Managing Director KO Hiroshi Kadokura Managing Director Y Shigeru Muranaka Managing Director N Takeshi Morinaga Director O Gaishi Hiraiwa Director T Jyoichi Aoi Director TS Teruhiko Horikoshi Director KA Makoto Koshino Director Y Rikio Nagahama Director Y CUSIP NO. 534187 10 9 13D Page 4 of 8 Pages NAME TITLE BUSINESS ADDRESS Katsutoshi Saito Director Y Tetsujiro Hayashi Director Y Kunihiro Kawashima Director Y Kenjiro Imada Director OM Masayuki Koyama Director O Koichi Sato Director Y Koichi Iki Director Y Hiroyuki Koizumi Director Y Addresses: Y: 13-1 Yurakucho 1-chome, Chiyoda-ku, Tokyo 100, JAPAN O: 300 Yamada Oi-machi, Ashigarakami-gun, Kanagawa 258, JAPAN T: 1-3 Uchisaiwai-cho 1-chome, Chiyoda-ku, Tokyo 100, JAPAN TS: 1-1 Shibaura 1-chome, Minato-ku, Tokyo 105-01, JAPAN OS: 8-17 Umeda 1-chome, Kita-ku, Osaka 530, JAPAN KO: 1-1 Marunouchi 3-chome, Chiyoda-ku, Tokyo 100, JAPAN N: 4-6 Nishiki 3-chome, Naka-ku, Nagoya 460, JAPAN KA: 1 Sakaemachi 5-chome, Kanagawa-ku, Yokohama 221, JAPAN OM: 122 Miya-cho 4-chome, Omiya-shi Saitama 330, JAPAN (c) With the exception of Mr. Hiraiwa and Mr. Aoi, all of the directors and executive officers of Dai-ichi listed in response to Item 2(a) are principally employed by Dai-ichi and are engaged in the management of Dai-ichi at the respective addresses listed in response to Item 2(b). Mr. Hiraiwa's principal employment is as Advisor to Tokyo Electric Power Company Incorporated at the address set forth in response to Item 2(b). Mr. Aoi's principal employment is as Advisor of Toshiba Corporation at the address set forth in response to Item 2(b). (d); (e) During the last five years, neither Dai-ichi nor, to the best of Dai-ichi's knowledge, any of the directors or executive officers of Dai-ichi has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which any such person was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. CUSIP NO. 534187 10 9 13D Page 5 of 8 Pages (f) Dai-ichi is organized under the laws of Japan and each of the directors and executive officers of Dai-ichi is a Japanese citizen. Item 5. Interest in Securities of the Issuer. Item 5 is amended to read in its entirety as follows: (a) Based on information provided by the Company, Dai-ichi beneficially owns 6,754,311 shares of the Common Stock of the Company which is equal to 6.5% of the total issued and outstanding shares of the Common Stock on December 17, 1996. To the best of Dai-ichi's knowledge, none of the directors or executive officers of Dai-ichi named in Item 2 beneficially owns any Stock of any class of the Company. (b) Dai-ichi has the sole power to vote or to direct the vote and the sole power to dispose or to direct the disposition of all 6,754.311 shares of the Common Stock that it owns. (c) Dai-ichi effected the following transactions during the sixty days preceding the date hereof. None of the persons or entities named in Item 2 above effected any other transactions in the Common Stock during the sixty days preceding the date hereof. Transaction Date Security No. Price/Share Market - ----------- ---- -------- --- ----------- ------ Sale 10/21/96 Common 40,000 48.26 NYSE Sale 10/22/96 Common 10,000 48.625 NYSE Sale 10/23/96 Common 10,000 48.134 NYSE Sale 10/25/96 Common 10,000 47.819 NYSE Sale 10/28/96 Common 3,500 48.125 NYSE Sale 10/29/96 Common 10,000 47.375 NYSE Sale 10/30/96 Common 9,000 48.25 NYSE Sale 10/31/96 Common 4,400 48.653 NYSE CUSIP NO. 534187 10 9 13D Page 6 of 8 Pages Sale 11/1/96 Common 6,139 48.5 NYSE Sale 11/4/96 Common 4,000 48.00 NYSE Sale 11/5/96 Common 3,000 48.125 NYSE Sale 11/7/96 Common 4,000 48.5 NYSE Sale 11/8/96 Common 3,000 49.75 NYSE Sale 11/12/96 Common 4,000 50.125 NYSE Sale 11/13/96 Common 3,000 50.5 NYSE Sale 11/14/96 Common 10,000 50.713 NYSE Sale 11/15/96 Common 10,000 51.125 NYSE Sale 11/18/96 Common 5,000 51.125 NYSE Sale 11/19/96 Common 7,000 51.5 NYSE Sale 11/20/96 Common 8,000 52.014 NYSE Sale 11/21/96 Common 10,000 52.631 NYSE Sale 11/22/96 Common 10,000 53.009 NYSE Sale 11/25/96 Common 15,000 53.208 NYSE Sale 11/26/96 Common 15,000 53.176 NYSE Sale 11/27/96 Common 10,000 53.108 NYSE Sale 12/3/96 Common 10,000 53.081 NYSE Sale 12/4/96 Common 10,000 51.574 NYSE Sale 12/6/96 Common 20,000 50.778 NYSE Sale 12/9/96 Common 10,000 51.75 NYSE Sale 12/11/96 Common 10,000 51.0 NYSE CUSIP NO. 534187 10 9 13D Page 7 of 8 Pages Sale 12/12/96 Common 10,000 50.638 NYSE Sale 12/13/96 Common 10,000 48.876 NYSE Sale 12/18/96 Common 10,000 50.845 NYSE (d) Not Applicable. (e) Not Applicable. CUSIP NO. 534187 10 9 13D Page 8 of 8 Pages 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: December 19, 1996 THE DAI-ICHI MUTUAL LIFE INSURANCE COMPANY By: /s/ Rikio Nagahama Name: Rikio Nagahama Title: Director -----END PRIVACY-ENHANCED MESSAGE-----