-----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, NNZOMf+hlJfBzQCOTxEE438bUv0rqp6lEg37SevawtYXE/JXF9l62aMcJR5Sqra1 4fSBgLg3Fvkvmm6qfSLaYQ== 0000897101-98-000132.txt : 19980218 0000897101-98-000132.hdr.sgml : 19980218 ACCESSION NUMBER: 0000897101-98-000132 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980213 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHERN TECHNOLOGIES INTERNATIONAL CORP CENTRAL INDEX KEY: 0000875582 STANDARD INDUSTRIAL CLASSIFICATION: CONVERTED PAPER & PAPERBOARD PRODS (NO CONTAINERS/BOXES) [2670] IRS NUMBER: 410857886 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-47411 FILM NUMBER: 98536904 BUSINESS ADDRESS: STREET 1: 6680 N HIGHWAY 49 CITY: LINO LAKES STATE: MN ZIP: 55014 BUSINESS PHONE: 6127841250 FORMER COMPANY: FORMER CONFORMED NAME: NORTHERN INSTRUMENTS CORP DATE OF NAME CHANGE: 19930328 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEE HERMAN H CENTRAL INDEX KEY: 0001023995 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ROUTE 1 STREET 2: BOX 55 CITY: BORUP STATE: MN ZIP: 56519 BUSINESS PHONE: 2184943330 MAIL ADDRESS: STREET 1: ROUTE 1 STREET 2: BOX 55 CITY: BORUP STATE: MN ZIP: 56519 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) NORTHERN TECHNOLOGIES INTERNATIONAL CORPORATION (Name of Issuer) COMMON STOCK, $.02 PAR VALUE (Title of Class of Securities) 665809 10 9 (CUSIP Number) MICHELE D. VAILLANCOURT, ESQ. WINTHROP & WEINSTINE, P.A. 3000 DAIN BOSWORTH PLAZA 60 SOUTH SIXTH STREET MINNEAPOLIS, MINNESOTA 55402 (612) 347-0700 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) DECEMBER 31, 1997 (Date of Event Which Requires Filing of This Statement) The information required in 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). (Cover page continued on next page) Page 1 of 5 Pages SCHEDULE 13G - ------------------------------- ---------------------------------- CUSIP NO. 665809 10 9 PAGE 2 OF 5 PAGES ----------- ------- ------- - ------------------------------- ---------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON Herman H. Lee S.S.N. ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| Not applicable. - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of Minnesota, U.S.A. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 254,445 shares SHARES --------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY 0 shares OWNED BY --------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 254,445 shares PERSON --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER WITH 0 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 254,445 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.1% (based on number of outstanding shares in issuer's Quarterly Report on Form 10-QSB for the quarter ended November 30, 1997). - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! ITEM 1(a). NAME OF ISSUER. Northern Technologies International Corporation ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES. 6680 North Highway 49 Lino Lakes, MN 55014 ITEM 2(a). NAME OF PERSON FILING. Herman H. Lee ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE. Route 1, Box 55 Borup, Minnesota 56519 ITEM 2(c). CITIZENSHIP. United States of America ITEM 2(d). TITLE OF CLASS OF SECURITIES. Common stock, $.02 par value ITEM 2(e). CUSIP NO. 665809 10 9 Page 3 of 5 Pages ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON 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) Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F); [ ] (g) Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G) (Note: See Item 7); or [ ] (h) Group, in accordance with Rule 13d-1(b)(1)(ii)(H). Not applicable. ITEM 4. OWNERSHIP. The following information is provided as of December 31, 1997: (a) Amount Beneficially Owned: 254,445 shares (b) Percent of Class: 6.1% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 254,445 shares (ii) Shared power to vote or to direct the vote: 0 shares (iii) Sole power to dispose or to direct the disposition of: 254,445 shares (iv) Shared power to dispose or to direct the disposition of: 0 shares Page 4 of 5 Pages ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. 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. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. Not applicable. 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: February 9, 1998. /s/ Herman H. Lee ----------------------------------- Herman H. Lee Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----