-----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, Kk20XOwf9UiTY8WhOD0DwHoDCfQg00dRv+GG06zN1lE5oPzHkUBSg2tqv/cI/ljC /poB4EN/RPSt8QKUzpZQFQ== 0000950123-98-006527.txt : 19980710 0000950123-98-006527.hdr.sgml : 19980710 ACCESSION NUMBER: 0000950123-98-006527 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980709 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALLEGHANY CORP /DE CENTRAL INDEX KEY: 0000775368 STANDARD INDUSTRIAL CLASSIFICATION: TITLE INSURANCE [6361] IRS NUMBER: 510283071 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-36110 FILM NUMBER: 98662653 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2127521356 MAIL ADDRESS: STREET 1: 375 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10055 FORMER COMPANY: FORMER CONFORMED NAME: ALLEGHANY FINANCIAL CORP DATE OF NAME CHANGE: 19870115 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KIRBY ALLAN P JR CENTRAL INDEX KEY: 0001014162 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 3201 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 212-752-1356 MAIL ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 3201 CITY: NEW YORK STATE: NY ZIP: 10152 SC 13D/A 1 AMENDMENT NO. 5 OF A SCHEDULE 13D 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) Alleghany Corporation - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, Par Value $1.00 Per Share - ------------------------------------------------------------------------------- (Title of Class of Securities) 01716108 - ------------------------------------------------------------------------------- (CUSIP Number) Allan P. Kirby, Jr. 14 East Main Street P.O. Box 90 Mendham, New Jersey 07945-0090 (973) 543-2200 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Not Applicable - ------------------------------------------------------------------------------- (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 Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. 2 SCHEDULE 13D - ------------------------------- CUSIP NO. 01716108 - ------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Allan P. Kirby, Jr. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not applicable - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF SHARES 569,433** BENEFICIALLY --------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH REPORTING 0 PERSON --------------------------------------------------------- WITH 9 SOLE DISPOSITIVE POWER 569,433** --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 569,433** - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- * See instructions before filling out! ** Includes 34,973 shares held by a child of Mr. Kirby, as to which Mr. Kirby holds an irrevocable power of attorney; Mr. Kirby disclaims beneficial ownership of such shares. - 2 - 3 This statement relates to the common stock, par value of $1.00 per share (the "Common Stock"), of Alleghany Corporation, a Delaware corporation ("Alleghany"), having its principal executive offices at 375 Park Avenue, New York, New York 10152. This statement amends Mr. Allan P. Kirby, Jr.'s Schedule 13D Statement dated August 31, 1981, as amended by Amendment No. 1 dated March 31, 1982, Amendment No. 2 dated November 26, 1985, Amendment No. 3 dated April 12, 1990 and Amendment No. 4 dated May 14, 1993, by furnishing the information set forth below. Item 5. Interest in Securities of the Issuer. (a) As of the date hereof, Mr. Kirby beneficially owned 569,433 shares, or approximately 7.7 percent of the outstanding shares, of the Common Stock of Alleghany. Such amount consists of 212,802 shares held directly by Mr. Kirby; 34,973 shares owned by a child of Mr. Kirby as to which Mr. Kirby holds an irrevocable power of attorney; 305,655 shares held by a trust of which Mr. Kirby is co-trustee and beneficiary; and 16,003 shares issuable under stock options granted pursuant to the Alleghany Corporation Directors' Stock Option Plan and the Alleghany Corporation Amended and Restated Directors' Stock Option Plan. Mr. Kirby disclaims beneficial ownership of the Common Stock of Alleghany held by his child. The percentage amount set forth above is based upon the number of shares of Alleghany Common Stock issued and outstanding as of March 31, 1998, as reported in Alleghany's Quarterly Report on Form 10-Q for the quarter then ended. (b) Mr. Kirby has sole power to vote or direct the vote and sole power to dispose or direct the disposition of all of the foregoing shares of Alleghany Common Stock which are currently outstanding. (c) Mr. Kirby has not effected any transactions in Alleghany Common Stock in the 60-day period ended as of the date hereof. - 3 - 4 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: July 2, 1998 /s/ Allan P. Kirby, Jr. -------------------------------- Allan P. Kirby, Jr. -4- -----END PRIVACY-ENHANCED MESSAGE-----