-----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, FR4iuIh7HhdStw16nhfrbTYCezw98UfO4PQCsaDazH0n3nscCfoUDrza8YjiWLOa X3fSDGL4CZdaIVJYZPyNBA== 0000892251-02-000033.txt : 20020414 0000892251-02-000033.hdr.sgml : 20020414 ACCESSION NUMBER: 0000892251-02-000033 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WALTER INDUSTRIES INC /NEW/ CENTRAL INDEX KEY: 0000837173 STANDARD INDUSTRIAL CLASSIFICATION: GEN BUILDING CONTRACTORS - RESIDENTIAL BUILDINGS [1520] IRS NUMBER: 133429953 STATE OF INCORPORATION: DE FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44983 FILM NUMBER: 02532815 BUSINESS ADDRESS: STREET 1: 1500 N DALE MABRY HWY CITY: TAMPA STATE: FL ZIP: 33607 BUSINESS PHONE: 8138714811 MAIL ADDRESS: STREET 1: 1500 N DALE MABRY HWY STREET 2: 1500 NORTH MABRY HGWY CITY: TAMPA STATE: FL ZIP: 33607 FORMER COMPANY: FORMER CONFORMED NAME: HILLSBOROUGH HOLDINGS CORP DATE OF NAME CHANGE: 19910814 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ASBESTOS SETTLEMENT TRUST CENTRAL INDEX KEY: 0001040609 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O KEVIN IRWIN KEATING MUETHING & KLEKA STREET 2: 1800 PROVIDENT TOWER ONE EAST FOURTH ST CITY: CINCINNATI STATE: OH ZIP: 45202 MAIL ADDRESS: STREET 1: C/O KEVIN IRWIN KEATING MUETHING & KLEKA STREET 2: 1800 PROVIDENT TOWER ONE EAST FOURTH ST CITY: CINCINNATI STATE: OH ZIP: 45202 SC 13D/A 1 schedule13d4.htm AMENDMENT NO. 4 Amendment No. 4

SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

SCHEDULE 13D
(Rule 13d-101)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDENTS THERETO FILED PURSUANT TO RULE 13d-2(a)

(Amendment No. 4)

Walter Industries, Inc.
(Name of Issuer)



Common Stock, par value $0.01 per share
(Title of Class of Securities)



93317 Q 10 5
(CUSIP Number)



Gary P. Kreider, Esq.
Keating, Muething & Klekamp, P.L.L.
One East Fourth Street, 14th Floor
Cincinnati, Ohio 45202
(513) 579-6411
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)



January 25, 2002
(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 [ ].

* 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). 

CUSIP No. 93317 Q 10 5                  13D                    Page 2 of 3 Pages

- --------- ----------------------------------------------------------------------
 1        NAME OF REPORTING PERSONS
          I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

          The Asbestos Settlement Trust     59-3304089
- --------- ----------------------------------------------------------------------
 2        CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*            (a) [ ]
          N/A                                                          (b) [ ]

- --------- ----------------------------------------------------------------------
 3        SEC USE ONLY


- --------- ----------------------------------------------------------------------
 4        SOURCE OF FUNDS*

             N/A
- --------- ----------------------------------------------------------------------
 5        CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
          TO ITEM 2(d) or 2(e)                                               [ ]

- --------- ----------------------------------------------------------------------
 6        CITIZENSHIP OR PLACE OF ORGANIZATION

             Florida
- ---------------------------- ------- -------------------------------------------
                              7      SOLE VOTING POWER

        NUMBER OF                    5,026,662
         SHARES
      BENEFICIALLY           ------- -------------------------------------------
        OWNED BY              8      SHARED VOTING POWER
          EACH
        REPORTING            ------- -------------------------------------------
       PERSON WITH            9      SOLE DISPOSITIVE POWER

                                     5,026,662
                             ------- -------------------------------------------
                             10      SHARED DISPOSITIVE POWER


- --------- ----------------------------------------------------------------------
11        AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

          5,026,662
- --------- ----------------------------------------------------------------------
12        CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
          CERTAIN SHARES*

- --------- ----------------------------------------------------------------------
13        PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
          11.3%
- --------- ----------------------------------------------------------------------
14        TYPE OF REPORTING PERSON*
             IN
- --------- ----------------------------------------------------------------------

                      *SEE INSTRUCTIONS BEFORE FILLING OUT!
          INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7,
      (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.

Page 3 of 3 Pages

          This Amendment No. 4 further amends the Schedule 13D in the following respects:

Item 5.

Interest in Securities of Issuer.


(a)

See page 2, nos. 11 and 13. The percent ownership of the Trust has increased despite the sale of shares because of a reduction in the number of outstanding shares of Walter Industries, Inc.


(b)

See page 2, nos. 7-10.


(c)

The Trust sold 444,000 shares of Walter Industries Common Stock through open market sales. After the sales, the Trust owns 5,026,662 shares, or approximately 11.3%, of the outstanding Common Stock of Walter Industries, Inc. The following transactions were effected during the past sixty days by the Trust:

      Sale Date      
January 8, 2002
January 9, 2002
January 10, 2002
January 11, 2002
January 14, 2002
January 15, 2002
January 18, 2002
January 22, 2002
January 23, 2002
January 25, 2002

Number of Shares Sold
60,000
20,000
11,800
25,500
70,000
71,700
75,900
16,300
27,000
65,800

      Price     
$10.4285
$10.3330
$10.2639
$10.3033
$9.9243
$9.9779
$9.0626
$8.9506
$8.8037
$8.9918

(d)

None.


(e)

Not Applicable.


SIGNATURE

After reasonable inquiry and to the best of his respective knowledge and belief, the undersigned certifies that the information set forth in this Schedule 13D is true, complete and correct.





Date:   February 8, 2002

THE ASBESTOS SETTLEMENT TRUST
Sharon M. Meadows, Trustee


By: /s/Gary P. Kreider                               
        Gary P. Kreider, Attorney-in-Fact

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