-----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, Glebp1NskeepFGiBosLlsdFt9+sIjf4d/j+KFqJvgHAoBGoLrALn2mvlq6fp87ia vE6wP7H5/opQMwImHh6BkA== 0000067618-02-000003.txt : 20020413 0000067618-02-000003.hdr.sgml : 20020413 ACCESSION NUMBER: 0000067618-02-000003 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020109 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MONMOUTH CAPITAL CORP CENTRAL INDEX KEY: 0000067618 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500] IRS NUMBER: 210740878 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-18868 FILM NUMBER: 2504672 BUSINESS ADDRESS: STREET 1: 3499 ROUTE 9 N, SUITE 3-C STREET 2: JUNIPER BUSINESS PLAZA CITY: FREEHOLD STATE: NJ ZIP: 07728 BUSINESS PHONE: 7325779993 MAIL ADDRESS: STREET 1: 3499 ROUTE 9 N, SUITE 3-C STREET 2: JUNIPER BUSINESS PLAZA CITY: FREEHOLD STATE: NJ ZIP: 07728 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LANDY EUGENE W CENTRAL INDEX KEY: 0000905016 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 150244993 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 125 WYCKOFF ROAD STREET 2: P O BOX 335 CITY: EATONTOWN STATE: NJ ZIP: 07724 BUSINESS PHONE: 9085424555 MAIL ADDRESS: STREET 1: 125 WYCKOFF ROAD STREET 2: P O BOX 335 CITY: EATONTOWN STATE: NJ ZIP: 07724 SC 13D 1 mcc13da.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 21 MONMOUTH CAPITAL CORPORATION (Name of Issuer) COMMON STOCK (Title of Class of Securities) 609524103 (CUSIP Number) Eugene W. Landy, Esq. Juniper Business Plaza, Suite 3-C 3499 Route 9 North Freehold, New Jersey 07728 732-577-9997 Name, address and telephone number of Person Authorized to Receive Notices and Communications) January 8, 2002 (Date of Event Which Requires Filing this Statement) ANNUAL REPORT -- NO MATERIAL CHANGE If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this statement, and is filing this statement because of Rule 13d-1(b)(3) or (4), check the following: [] Check the following box if a fee is being paid with this statement: [ ] 1. Name of Reporting Person, S.S. or I.R.S. Identification No. of Reporting Person: Eugene W. Landy S.S. ####-##-#### 2. Check appropriate box if member of a group: a) [ X ] b) [ ] 3. SEC Use Only 4. Source of Funds: Eugene W. Landy used personal funds. 5. Check if Disclosure of Legal Proceedings is Required pursuant to Items 2(d) or 2(e): 6. Citizen or Place of Organization: Citizen of U.S.A. Number of Shares 7. Sole Voting Power 108,293.6847 shares Beneficially Owned 8. Shared Voting Power 116,431.4545 shares by Reporting Person 9. Sole Dispositive Power 108,293.6847 shares 10. Shared Dispositive Power 116,431.4545 shares 11. Aggregate Amount Beneficially Owned by Reporting Person: 224,725.1392 12. Check if the Aggregate Amount in Row (11) excludes Certain Shares: [ X ] 13. Percent of Class Represented by Amount in Row (11): 13.24% 14. Type of Reporting Person: Individual ITEM 1. SECURITY AND ISSUER Common Stock issued by Monmouth Capital Corporation, Juniper Business Plaza, Suite 3-C, 3499 Route 9 North, Freehold, New Jersey 07728. ITEM 2. IDENTITY AND BACKGROUND (a) The person filing this statement is Eugene W. Landy. (b) Mr. Landy's business address is Juniper Business Plaza, Suite 3-C, 3499 Route 9 North, Freehold, New Jersey 07728. (c) Mr. Landy's present principal occupation is an attorney; President of Monmouth Capital Corporation; President of Monmouth Real Estate Investment Corporation (formerly Monmouth Real Estate Investment Trust); and Chairman of the Board of United Mobile Homes, Inc. (d) Mr. Landy has not been convicted in a criminal proceeding during the past five years. (e) Mr. Landy, has not, during the past five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction that resulted in a judgment, decree, or final order enjoining future violations of, or prohibiting or mandating activities subject to federal or state security laws or finding any violations with respect to such laws. (f) Mr. Landy is a United States citizen. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Answers to this Item 3 for Mr. Landy are set forth above. ITEM 4. PURPOSE OF TRANSACTION Common Stock of Monmouth Capital Corporation was acquired for investment purposes. The acquisition involves no change of control of Monmouth Capital Corporation. Eugene W. Landy is President, Director and a major shareholder. Therefore, Item 4 is somewhat inapplicable. Mr. Landy has no plans for the following: (a) The acquisition by any person or additional securities of the issuer, or the disposition of securities of the issuer; except that purchases of Monmouth Capital Corporation common stock in amounts up to 10,000 shares may be made from time to time in the open market; and except that purchases of Monmouth Capital Corporation common stock may be made from time to time under the Company's Dividend Reinvestment and Stock Purchase Plan without limitation. (b) the extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries, except the Board of Directors of Monmouth Capital Corporation is considering the changes set forth in (f) of this Item 4 below; (c) a sale or transfer of a material amount of assets of the issuer or any of its subsidiaries; (d) any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) any material change in the present capitalization or dividend policy of the issuer; (f) any other material change in the issuer's business or corporate structure, as set forth in the issuer's Form 10K and annual report; (g) changes in the issuer's charter, by-laws or instruments corresponding thereto or other actions which may impede the acquisition or control of the issuer by any person; (h) causing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an interdealer quotation system of a registered national securities association; (i) any action similar to any of those enumerated above. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) As of the close of business on January 8, 2002, the following table lists the aggregate number of shares and the percentage of the shares of common stock owned: Aggregate Number Percentage Of Name of Shares Owned Shares Owned Eugene W. Landy 100,274.6176* Gloria Landy 8,019.0671 Eugene W. Landy, Profit Sharing 69,051.0000 Eugene W. Landy, Pension Plan 32,835.0000 Landy Investment 14,545.4545 Total: 224,725.1392** 13.24% __________________________________ *Does not include 50,000 shares on which Mr. Landy has an option to purchase pursuant to the Company's Stock Option Plan, which option expires October 4, 2009. **Excludes shares held by Mr. Landy's adult children in which he disclaims any beneficial interest. (b) The information required by this sub-paragraph is contained in the responses to ITEMS 7-10 of the second part of the cover page hereto, which items are hereby incorporated by reference. (c) The following transactions were effected by Mr. Landy with respect to the Common Stock of Monmouth Capital Corporation during the past 60 days: Amt. of Character of Price Per Name Date Shares Transaction Share E.W. Landy 11/9/01 500 Disposition by Gift E.W. Landy 12/17/01 7,645.619 Acquisition pursuant $2.625 to the Company's Dividend Reinvestment and Stock Purchase Plan Gloria Landy 12/17/01 697.3102 Acquisition pursuant $2.625 to the Company's Dividend Reinvestment and Stock Purchase Plan ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER There are no contracts, arrangements, understandings or relation- ships (legal or otherwise) between the person named in ITEM 2 hereof or between such person and any person with respect to any securities of Monmouth Capital Corporation. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS 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: January 8, 2002 /s/Eugene W. Landy -----END PRIVACY-ENHANCED MESSAGE-----