-----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, JsAJOXijbmzgcnkdluT7Bsp1amexb53FIq6ei1yeIldZNI+rzFQ4+MgDhfPtLaR1 GKBwTARI/I8tmsB325AFiw== 0000067347-97-000004.txt : 19970221 0000067347-97-000004.hdr.sgml : 19970221 ACCESSION NUMBER: 0000067347-97-000004 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970211 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MODINE MANUFACTURING CO CENTRAL INDEX KEY: 0000067347 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 390482000 STATE OF INCORPORATION: WI FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-10880 FILM NUMBER: 97524381 BUSINESS ADDRESS: STREET 1: 1500 DEKOVEN AVE CITY: RACINE STATE: WI ZIP: 53403 BUSINESS PHONE: 4146361200 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MODINE MANUFACTURING CO CENTRAL INDEX KEY: 0000067347 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 390482000 STATE OF INCORPORATION: WI FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1500 DEKOVEN AVE CITY: RACINE STATE: WI ZIP: 53403 BUSINESS PHONE: 4146361200 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) Modine Manufacturing Company ---------------------------- (Name of Issuer) Current Members of the Administrative Committees of Modine Manufacturing Company's Contributory Employee Stock Ownership and Investment Plans: Salaried Employees: Robert M. Gunnerson, Roger L. Hetrick; Dean R. Zakos; and alternates: Donald G. Lautz and V. S. Frangopoulos Hourly-Rate Non-Union Employees: Robert M. Gunnerson, Roger L. Hetrick; Robert C. Weeks; and alternates: Donald G. Lautz and V. S. Frangopoulos Hourly-Rate Union Employees: Robert M. Gunnerson, Roger L. Hetrick; Robert C. Weeks; alternates: Donald G. Lautz and V. S. Frangopoulos ---------------------------------------------------------- (Names of Persons Filing Statement) Common Stock, par value $0.625 per share ---------------------------------------- (Title of Class of Securities) 607828-100 -------------- (CUSIP Number) December 31, 1996 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the following box if a fee is being paid with this statement: [ ] 1(a) CUSIP No. 607828-100 -------------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons R. M. Gunnerson ---------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) X ---------------- (b) ---------------- 3) SEC Use Only ------------------------------------ 4) Citizenship U.S. ---------------- Number of (5) Sole Voting Power 96,190 Shares -------------------------- Bene- (MCESOIPS' ADMINISTRATIVE ficially (6) Shared Voting Power 5,630,270 COMMITTEES) Owned by -------------------------- Each (7) Sole Dispositive Reporting Power 96,190 Person -------------------------- With (MCESOIPS' ADMINISTRATIVE (8) Shared Dispositive Power 5,630,270 COMMITTEES) -------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 5,691,312 -------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ---------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 19.06% --------- 12) Type of Reporting Person (See Instructions) EP, IN (As a ------------------------- member of the MCESOIPS' Administrative Committees and --------------------------------------------------------------------- Individually) --------------------------------------------------------------------- 1(b) CUSIP No. 607828-100 -------------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons R. L. Hetrick ---------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) X ---------------- (b) ---------------- 3) SEC Use Only ------------------------------------ 4) Citizenship U.S. ---------------- Number of (5) Sole Voting Power 52,911 Shares -------------------------- Bene- (MCESOIPS' ADMINISTRATIVE ficially (6) Shared Voting Power 5,630,270 COMMITTEES) Owned by -------------------------- Each (7) Sole Dispositive Reporting Power 52,911 Person -------------------------- With (MCESOIPS' ADMINISTRATIVE (8) Shared Dispositive Power 5,630,270 COMMITTEES) -------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 5,676,374 -------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ---------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 19.01% --------- 12) Type of Reporting Person (See Instructions) EP, IN (As a ------------------------- member of the MCESOIPS' Administrative Committees and --------------------------------------------------------------------- Individually) --------------------------------------------------------------------- 1(c) CUSIP No. 607828-100 -------------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons D. G. Lautz ---------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) X ---------------- (b) ---------------- 3) SEC Use Only ------------------------------------ 4) Citizenship U.S. ---------------- Number of (5) Sole Voting Power 16,879 Shares -------------------------- Bene- (MCESOIPS' ADMINISTRATIVE ficially (6) Shared Voting Power 5,630,270 COMMITTEES) Owned by -------------------------- Each (7) Sole Dispositive Reporting Power 16,879 Person -------------------------- With (MCESOIPS' ADMINISTRATIVE (8) Shared Dispositive Power 5,630,270 COMMITTEES) -------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 5,632,678 -------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ---------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 18.86% --------- 12) Type of Reporting Person (See Instructions) EP, IN (As a ------------------------- member of the MCESOIPS' Administrative Committees and --------------------------------------------------------------------- Individually) --------------------------------------------------------------------- 1(d) CUSIP No. 607828-100 -------------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons D. R. Zakos ---------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) X ---------------- (b) ---------------- 3) SEC Use Only ------------------------------------ 4) Citizenship U.S. ---------------- Number of (5) Sole Voting Power 35,278 Shares -------------------------- Bene- (MCESOIPS' ADMINISTRATIVE ficially (6) Shared Voting Power 5,630,270 COMMITTEES) Owned by -------------------------- Each (7) Sole Dispositive Reporting Power 35,278 Person -------------------------- With (MCESOIPS' ADMINISTRATIVE (8) Shared Dispositive Power 5,630,270 COMMITTEES) -------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 5,659,179 -------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ---------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 18.95% --------- 12) Type of Reporting Person (See Instructions) EP, IN (As a ------------------------- member of the MCESOIPS' Administrative Committees and --------------------------------------------------------------------- Individually) --------------------------------------------------------------------- 1(e) CUSIP No. 607828-100 -------------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons R. C. Weeks ---------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) X ---------------- (b) ---------------- 3) SEC Use Only ------------------------------------ 4) Citizenship U.S. ---------------- Number of (5) Sole Voting Power 19,525 Shares -------------------------- Bene- (MCESOIPS' ADMINISTRATIVE ficially (6) Shared Voting Power 5,630,270 COMMITTEES) Owned by -------------------------- Each (7) Sole Dispositive Reporting Power 19,525 Person -------------------------- With (MCESOIPS' ADMINISTRATIVE (8) Shared Dispositive Power 5,630,270 COMMITTEES) -------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 5,636,358 -------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ---------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 18.88% --------- 12) Type of Reporting Person (See Instructions) EP, IN (As a ------------------------- member of the MCESOIPS' Administrative Committees and --------------------------------------------------------------------- Individually) --------------------------------------------------------------------- (f) CUSIP No. 607828-100 -------------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons V. S. Frangopoulos ---------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) X ---------------- (b) ---------------- 3) SEC Use Only ------------------------------------ 4) Citizenship U.S. ---------------- Number of (5) Sole Voting Power 333,538 Shares -------------------------- Bene- (MCESOIPS' ADMINISTRATIVE ficially (6) Shared Voting Power 5,630,270 COMMITTEES) Owned by -------------------------- Each (7) Sole Dispositive Reporting Power 333,538 Person -------------------------- With (MCESOIPS' ADMINISTRATIVE (8) Shared Dispositive Power 5,630,270 COMMITTEES) -------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 5,902,362 -------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ---------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 19.77% --------- 12) Type of Reporting Person (See Instructions) EP, IN (As a ------------------------- member of the MCESOIPS' Administrative Committees and --------------------------------------------------------------------- Individually) --------------------------------------------------------------------- 1(g) Item 1(a). Name of Issuer: - --------- -------------- Modine Manufacturing Company Item 1(b). Address of Issuer's Principal Executive Offices: - --------- ----------------------------------------------- 1500 DeKoven Avenue Racine, WI 53403 Item 2(a). Name of Person Filing: - --------- --------------------- Modine Manufacturing Company's Contributory Employee Stock Ownership and Investment Plans. This statement is being filed by the members of the Administrative Committees defined in Modine's qualified Contributory Employee Stock Ownership Plan Trust Agreement (the "MCESOP Trust") in their capacities as members of the Administrative Committees. Item 2(b). Address of Principal Business Office, or, if none, Residence: - --------- ------------------------------------------------------------ 1500 DeKoven Avenue Racine, WI 53403 Item 2(c). Citizenship: - --------- ----------- U.S.A. Item 2(d). Title of Class of Securities: - --------- ---------------------------- Common Item 2(e). CUSIP Number: - --------- ------------ 607828-100 Item 3: If this statement is filed pursuant to Rule 13d- - ------ 1(b)(1) or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Act. (b) [ ] Bank as defined in section 3(a)(6) of the Act. (c) [ ] Insurance company as defined in section 3(a)(19) of the Act. (d) [ ] Investment Company registered under section 8 of the Investment Company Act. (e) [ ] Investment adviser registered under section 203 of the Investment Advisers Act of 1940. (f) [X] Employee benefit plan, pension fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or endowment fund; see section 240.13d-1(b)(1)(ii)(F). --- (g) [ ] Parent holding company, in accordance with section 240.13d-1(b)(ii)(G). (h) [ ] groups, in accordance with section 240.13d-1(b)(1)(ii)(H). Item 4. Ownership: Provide the following information - ------ --------- regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: See Pages 1(b), 1(c), --- 1(d), 1(e), 1(f) and 1 (g). (b) Percent of class: See Pages 1(b), 1(c), 1(d), 1(e), --- 1(f) and 1 (g). (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: See Pages 1(b), 1(c), 1(d), 1(e), 1(f) and 1 (g). --- (ii) Shared power to vote or to direct the vote: See Pages 1(b), 1(c), 1(d), 1(e), 1(f) and 1 (g). --- (iii) Sole power to dispose or to direct the disposition of: See Pages 1(b), 1(c), 1(d), 1(e), 1(f) and 1 (g). --- (iv) Shared power to dispose or to direct the disposition of: See Pages 1(b), 1(c), 1(d), 1(e), 1(f) and 1 (g). --- 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 [ ]. Item 6. Ownership of More than Five Percent on Behalf of - ------ ------------------------------------------------ Another Person: -------------- Not applicable. Item 7. Identification and Classification of the Subsidiary - ------ Which Acquired the Security Being Reported on By the Parent Holding Company: Not applicable. Item 8. Identification and Classification of Members of the Group: - ------ --------------------------------------------------------- See attached exhibit. --- Item 9. Notice of Dissolution of Group: - ------ ------------------------------ Not applicable. Item 10. Certification: - ------- ------------- 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. Signature: R. M. GUNNERSON February 7, 1997 - ------------------------------------------ ------------------- R. M. Gunnerson, Treasurer, and Date Secretary of the Administrative Committees of the Salaried, Hourly-Rate Non-Union, and Hourly-Rate Union Employees Plans. R. L. HETRICK February 7, 1997 - ------------------------------------------ ------------------- R. L. Hetrick, Vice President - Human Date Resources, and member of the Administrative Committees of the Salaried, Hourly-Rate Non-Union, and Hourly-Rate Union Employees Plans. D. R. ZAKOS February 7, 1997 - ------------------------------------------ ------------------- D. R. Zakos, Associate General Counsel Date and Assistant Secretary, and member of the Administrative Committee of the Salaried Employees Plans. D. G. LAUTZ February 7, 1997 - ------------------------------------------ ------------------- D. G. Lautz, Senior Counsel and Date alternate member of the Administrative Committees of the Salaried, Hourly-Rate Non-Union, and Hourly-Rate Union Employees Plans. R. C. WEEKS February 7, 1997 - ------------------------------------------ ------------------- R. C. Weeks, Employee Relations Director Date and alternate member of the Administrative Committees of the Hourly-Rate Non-Union and Hourly-Rate Union Employees Plans. V. S. FRANGOPOULOS February 7, 1997 - ------------------------------------------ ------------------- V. S. Frangopoulos, Group Vice President, Date and alternate member of the Administrative Committees of the Salaried, Hourly-Rate Non-Union, and Hourly-Rate Union Employees Plans. APPENDIX A This statement is being filed by members of the Administrative Committees of Modine's Contributory Stock Purchase and Investment Plans in their capacities as Administrative Committee members. R. M. Gunnerson: Mr. Gunnerson is Treasurer of Modine, and Secretary of the Administrative Committees of the Salaried, Hourly-Rate Non-Union and Hourly-Rate Union Employees Plans. R. L. Hetrick: Mr. Hetrick is Vice President, Human Resources, and member of the Administrative Committees of the Salaried, Hourly-Rate Non-Union and Hourly-Rate Union Employees Plans. D. R. Zakos: Mr. Zakos is Associate General Counsel and Assistant Secretary and a member of the Administrative Committee of the Salaried Employees Plan. D. G. Lautz: Mr. Lautz is Senior Counsel of Modine, and an alternate member of the Administrative Committees of the Salaried, Hourly-Rate Non-Union and Hourly-Rate Union Employees Plans. R. C. Weeks: Mr. Weeks is Employee Relations Director and alternate member of the Administrative Committees of the Hourly-Rate Non-Union and Hourly-Rate Union Employees Plans. V. S. Frangopoulos Mr. Frangopoulos is Group Vice President; and an alternate member of the Administrative Committees of the Salaried, Hourly-Rate Non-Union and Hourly-Rate Union Employees Plans. The business address for Messrs. Gunnerson, Hetrick, Zakos, Lautz, Weeks and Frangopoulos and Modine Manufacturing Company is 1500 DeKoven Avenue, Racine, Wisconsin 53403. Modine Manufacturing Company is a manufacturer of heat-transfer products. -----END PRIVACY-ENHANCED MESSAGE-----