-----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, K0AX20pJ5coSVEG6wA6kCUlsgUzjGoQkzhlQ11+PxSW1GLAptsGkpBtL4dKcrYFn JEhl2sbz727im5o9Q44wdQ== 0000067347-02-000004.txt : 20020414 0000067347-02-000004.hdr.sgml : 20020414 ACCESSION NUMBER: 0000067347-02-000004 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 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: 02540730 BUSINESS ADDRESS: STREET 1: 1500 DEKOVEN AVE CITY: RACINE STATE: WI ZIP: 53403 BUSINESS PHONE: 2626361200 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: 2626361200 SC 13G/A 1 r13g-02.txt 13G/A AMENDMENT NO. 7 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7) 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: Dave B. Spiewak, Roger L. Hetrick; Dean R. Zakos; and alternates: Donald G. Lautz and Laura O. Clampett Hourly-Rate Non-Union Employees: Dave B. Spiewak, Roger L. Hetrick; Dean R. Zakos; and alternates: Donald G. Lautz and Laura O. Clampett Hourly-Rate Union Employees: Dave B. Spiewak, Roger L. Hetrick; Dean R. Zakos; and alternates: Donald G. Lautz and Laura O. Clampett ---------------------------------------------------------- (Names of Persons Filing Statement) Common Stock, par value $0.625 per share ---------------------------------------- (Title of Class of Securities) 607828-100 -------------- (CUSIP Number) December 31, 2001 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) 1(a) CUSIP No. 607828-100 -------------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons Dave B. Spiewak ---------------------- 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 10,061* Shares -------------------------- Bene- (MCESOIPS' ADMINISTRATIVE ficially (6) Shared Voting Power 4,287,932 COMMITTEES) Owned by -------------------------- Each (7) Sole Dispositive Reporting Power 10,061* Person -------------------------- With (MCESOIPS' ADMINISTRATIVE (8) Shared Dispositive Power 4,287,932 COMMITTEES) -------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 4,297,815* -------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ---------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 12.90% --------- 12) Type of Reporting Person (See Instructions) EP, IN (As a ------------------------- member of the MCESOIPS' Administrative Committees and --------------------------------------------------------------------- Individually) --------------------------------------------------------------------- * The reported securities include units held in the Modine 401(k) Retirement Plan and Modine Deferred Compensation Plan. Each Unit consists of Modine common stock and cash components. 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 73,947* Shares -------------------------- Bene- (MCESOIPS' ADMINISTRATIVE ficially (6) Shared Voting Power 4,287,932 COMMITTEES) Owned by -------------------------- Each (7) Sole Dispositive Reporting Power 73,947* Person -------------------------- With (MCESOIPS' ADMINISTRATIVE (8) Shared Dispositive Power 4,287,932 COMMITTEES) -------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 4,361,879* -------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ---------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 13.09% --------- 12) Type of Reporting Person (See Instructions) EP, IN (As a ------------------------- member of the MCESOIPS' Administrative Committees and --------------------------------------------------------------------- Individually) --------------------------------------------------------------------- * The reported securities include units held in the Modine 401(k) Retirement Plan and Modine Deferred Compensation Plan. Each Unit consists of Modine common stock and cash components. 1(c) 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 69,264* Shares -------------------------- Bene- (MCESOIPS' ADMINISTRATIVE ficially (6) Shared Voting Power 4,287,932 COMMITTEES) Owned by -------------------------- Each (7) Sole Dispositive Reporting Power 69,264* Person -------------------------- With (MCESOIPS' ADMINISTRATIVE (8) Shared Dispositive Power 4,287,932 COMMITTEES) -------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 4,350,126* -------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ---------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 13.05% --------- 12) Type of Reporting Person (See Instructions) EP, IN (As a ------------------------- member of the MCESOIPS' Administrative Committees and --------------------------------------------------------------------- Individually) --------------------------------------------------------------------- * The reported securities include units held in the Modine 401(k) Retirement Plan and Modine Deferred Compensation Plan. Each Unit consists of Modine common stock and cash components. 1(d) 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 18,285* Shares -------------------------- Bene- (MCESOIPS' ADMINISTRATIVE ficially (6) Shared Voting Power 4,287,932 COMMITTEES) Owned by -------------------------- Each (7) Sole Dispositive Reporting Power 18,285* Person -------------------------- With (MCESOIPS' ADMINISTRATIVE (8) Shared Dispositive Power 4,287,932 COMMITTEES) -------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 4,288,889* -------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ---------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 12.87% --------- 12) Type of Reporting Person (See Instructions) EP, IN (As a ------------------------- member of the MCESOIPS' Administrative Committees and --------------------------------------------------------------------- Individually) --------------------------------------------------------------------- * The reported securities include units held in the Modine 401(k) Retirement Plan and Modine Deferred Compensation Plan. Each Unit consists of Modine common stock and cash components. 1(e) CUSIP No. 607828-100 -------------------- 1) Names of Reporting Persons S. S. or I. R. S. Identification Nos. of Above Persons L. O. Clampett ---------------------- 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 6,228* Shares -------------------------- Bene- (MCESOIPS' ADMINISTRATIVE ficially (6) Shared Voting Power 4,287,932 COMMITTEES) Owned by -------------------------- Each (7) Sole Dispositive Reporting Power 6,228* Person -------------------------- With (MCESOIPS' ADMINISTRATIVE (8) Shared Dispositive Power 4,287,932 COMMITTEES) -------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 4,288,552* -------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares ---------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 12.87% --------- 12) Type of Reporting Person (See Instructions) EP, IN (As a ------------------------- member of the MCESOIPS' Administrative Committees and --------------------------------------------------------------------- Individually) --------------------------------------------------------------------- * The reported securities include units held in the Modine 401(k) Retirement Plan and Modine Deferred Compensation Plan. Each Unit consists of Modine common stock and cash components. 1(f) 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), and 1(f). (b) Percent of class: See Pages 1(b), 1(c), 1(d), 1(e), --- and 1(f). (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), and 1(f). --- (ii) Shared power to vote or to direct the vote: See Pages 1(b), 1(c), 1(d), 1(e), and 1(f). --- (iii) Sole power to dispose or to direct the disposition of: See Pages 1(b), 1(c), 1(d), 1(e), and 1(f). --- (iv) Shared power to dispose or to direct the disposition of: See Pages 1(b), 1(c), 1(d), 1(e), and 1(f). --- 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: D. B. SPIEWAK February 12, 2002 - ------------------------------------------ ------------------- D. B. Spiewak, Treasurer and Date member of the Administrative Committees of the Salaried, Hourly-Rate Non-Union, and Hourly-Rate Union Employees Plans. R. L. HETRICK February 12, 2002 - ------------------------------------------ ------------------- 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 12, 2002 - ------------------------------------------ ------------------- D. R. Zakos, Vice President, General Date Counsel and Secretary, and member of the Administrative Committee of the Salaried, Hourly-Rate Non-Union and Hourly-Rate Union Employees Plans. D. G. LAUTZ February 12, 2002 - ------------------------------------------ ------------------- 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. LAURA O. CLAMPETT February 12, 2002 - ------------------------------------------ ------------------- Laura O. Clampett, Director, Compensation Date and Benefits 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. D. B. Spiewak: Mr. Spiewak is Treasurer of Modine, and member 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 Vice President, General Counsel and Secretary and a member of the Administrative Committee of the Salaried, Hourly-Rate Non-Union and Hourly-Rate Union 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. Laura O. Clampett: Ms. Clampett is Director of Compensation and Benefits; 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. Spiewak, Hetrick, Zakos, and Lautz, and Ms. Clampett 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-----