-----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, GSXYlGs59epBc9xLV3qCbbqj3GYHY2uP4AwCwRzeq3KQeaW5i0ajHLjdNFTzITK1 ZU2HF+AtyVHDeWz7VfWX2Q== 0001068144-01-500022.txt : 20010813 0001068144-01-500022.hdr.sgml : 20010813 ACCESSION NUMBER: 0001068144-01-500022 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010810 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENLYTE GROUP INC CENTRAL INDEX KEY: 0000833076 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC LIGHTING & WIRING EQUIPMENT [3640] IRS NUMBER: 222584333 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39753 FILM NUMBER: 1703323 BUSINESS ADDRESS: STREET 1: 4360 BROWNSBORO ROAD CITY: LOUISVILLE STATE: KY ZIP: 40207 BUSINESS PHONE: 9089647000 MAIL ADDRESS: STREET 1: 4360 BROWNSBORO ROAD CITY: LOUISVILLE STATE: KY ZIP: 40207 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NEUBERGER BERMAN INC CENTRAL INDEX KEY: 0001068144 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 061523639 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 605 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10158 BUSINESS PHONE: 2124769000 MAIL ADDRESS: STREET 1: 605 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10158 SC 13D/A 1 glyt13d3.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities and Exchange Act of 1934 (Amendment No. 3 ) Name of Issuer: Genlyte Group Inc. Title of Class of Securities: common Cusip Number: 372302109 Name, Address and Telephone Number of Person authorized to receive notices and communications: Kevin Handwerker, General Counsel, c/o Neuberger Berman, 605 Third Avenue, NY, NY 10158 Date of Event which requires Filing of this statement: July 20, 2001 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 0 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 13 D CUSIP NO. 372302109 1.Name of Reporting Person S.S. or IRS identification NO. of Above Person Marvin C. Schwartz SS # ###-##-#### 2.Check the appropriate box if a member of a group* a 0 b 0 3. Sec use only 4.Source of funds* P.F.O.O. 5.Check Box if disclosure of legal proceedings is required pursuant to items 2(d) or 2(e) 0 6. Citizenship or place of organization U.S.A. 7. Sole Voting Power 273,800** (see footnote) 8.Shared voting power 0 9.Sole dispositive power 273,800 10. Shared dispositive power 546,300 11. Aggregate amount beneficially owned by each reporting person 820,100 12.Check box if the aggregate amount in row 11 excludes certain shares* 0 13. Percent of class represented by amount in row 11. 6.15% 14.Type of reporting person* IN **In Mr. Schwartz's Schedule 13D filing dated 2/5/96, it was reported that he had sole voting power with respect to 337,400 shares. Of these shares, 238,990 were held by the NB Profit Sharing Trust (the "Plan"), and Mr. Schwartz was reported as the co-trustee of the Plan. Since his last 13D amendment, Mr. Schwartz relinquished his position as trustee of the Plan and accordingly, is no longer the trustee for the Plan and will no longer report these holdings under his Schedule 13D. The Plan's holdings are now reported by Neuberger Berman, LLC on it's Schedule 13G, which was filed 2/5/01. ITEM 1 Security and Issuer This statement related to the common stock (the "shares") of Genlyte Group Inc. (the "Company"). The Address of the principal executive offices of the company is 4360 Brownsboro Road, Louisville, KY 40207. ITEM 2 Identity and Background A) The name of the individual filing this statement is Marvin C. Schwartz B) The business address of Marvin C. Schwartz is: c/o Neuberger Berman, LLC, 605 Third Avenue, New York, New York 10158-3698. C) Marvin C. Schwartz is a Managing Director of Neuberger Berman, LLC, a limited liability company organized under the laws of the State of Delaware. Neuberger Berman, LLC is a registered broker/dealer and registered investment advisor which conducts a general brokerage, dealer and investment advisory business. This filing is made by Mr. Schwartz individually and not in his capacity as Managing Director of Neuberger Berman, LLC. The shares are held individually by Mr. Schwartz and others. The firm of Neuberger Berman, LLC has no voting or dispositive power regarding these shares. D) During the last five years Marvin C. Schwartz has not been convicted in a criminal proceeding(excluding traffic violations or similar misdemeanors). E) During the last five years Marvin C. Schwartz has not been a party to a civil proceeding as a result of which he is subject to judgement, decree or order enjoining future violations of or prohibiting or mandating activited subject to Federal or State securities laws or finding any violation with respect to such laws. F) Marvin C. Schwartz is a United States citizen. ITEM 3 Source and Amounts of Funds Marvin C. Schwartz now owns 273,800 Shares for his personal account. Those shares acquired were purchased with his personal funds. In addition, Marvin C. Schwartz now beneficially owns 546,300 shares as follows: 546,300 shares are held in street name as a part of several accounts for the benefit of Marvin C. Schwartz's family. Marvin C. Schwartz is a beneficial owner of these 546,300 shares based on his discretionary and shared dispositive power over these accounts. ITEM 4 Purpose of Transaction Marvin C. Schwartz purchased the shares for investment purposes only. He does not have any plans or proposals which relate to or would result in any of the activities or matters referred to in paragraphs (a) through (j), inclusive of item 4 of Schedule 13D. ITEM 5 Interest in Securities of the Issuer A) Marvin C. Schwartz is the beneficial owner of 820,100 shares which represents 6.15% of the 13,332,124 shares outstanding. B) Marvin C. Schwartz has the sole power to dispose of 273,800 shares and has shared dispositive power with regard to 546,300 shares. Marvin C. Schwartz has sole voting power with regard to 273,800 shares and has shared voting power with regard to 0 shares. C) During the 60 days surrounding the event triggering this filing, Marvin C. Schwartz effected 7 open market transactions in the shares. The trade dates and prices are noted below: Trade Date B/S Shares Price 07/20/01 S 3,900 32.9292 07/23/01 S 300 32.64 07/25/01 S 8,800 31 07/26/01 S 5,800 31.0064 07/27/01 S 13,000 31.8096 07/30/01 S 4,200 31.881 07/31/01 S 1,000 31.8 ITEM 6 Contracts, Agreements, Understandings or Relationship with Respect to Securities of Issuer There are no agreements, contracts or understandings of any kind between Marvin C. Schwartz and any other person with regard to the shares or the issuer. ITEM 7 Material to be filed as Exhibits There are no materials to be filed as exhibits. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Signatures After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: Marvin Schwartz -----END PRIVACY-ENHANCED MESSAGE-----