-----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, Mm/JCIkmyuRaOdNOdL5pEa1R4DB07BxhCpA5tUAlX/5OHsiZyDfku0/ePp5kB9X8 SUYgpStsLRFie84G8xavPg== 0000950144-97-001703.txt : 19970223 0000950144-97-001703.hdr.sgml : 19970223 ACCESSION NUMBER: 0000950144-97-001703 CONFORMED SUBMISSION TYPE: SC 13G/A CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970221 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRACTOR SUPPLY CO /DE/ CENTRAL INDEX KEY: 0000916365 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-BUILDING MATERIALS, HARDWARE, GARDEN SUPPLY [5200] IRS NUMBER: 133139732 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47291 FILM NUMBER: 00000000 BUSINESS ADDRESS: STREET 1: 320 PLUS PARK BLVD CITY: NASHVILLE STATE: TN ZIP: 37217 BUSINESS PHONE: 6153664600 MAIL ADDRESS: STREET 1: 320 PLUS PARK BOULEVARD CITY: NASHVILLE STATE: TN ZIP: 37217 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MAXWELL JOSEPH D CENTRAL INDEX KEY: 0000938609 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 320 PLUS PARK CITY: NASHVILLE STATE: TN ZIP: 37217 SC 13G/A 1 TRACTOR SUPPLY COMPANY/JOSEPH MAXWELL 1 "THIS DOCUMENT IS A COPY OF THE SCHEDULE 13G FILED ON FEBRUARY 14, 1997 PURSUANT TO A RULE 201 TEMPORARY HARDSHIP EXEMPTION." SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13D-102) INFORMATION STATEMENT PURSUANT TO RULES 13D-1 AND 13D-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)1 TRACTOR SUPPLY COMPANY - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $.008 PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 892356106 - -------------------------------------------------------------------------------- (CUSIP number) 1 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 the disclosures provided in a prior cover page. 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 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). 2 CUSIP NO. 892356106 SCHEDULE 13G PAGE 2 OF 6 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Joseph D. Maxwell --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [ ] (B) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 450,059 SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 0 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH 450,059 -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 0 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 450,059 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ X ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.2% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 2 OF 6 PAGES ----- ----- 3 ITEM 1(a). NAME OF ISSUER: Tractor Supply Company ------------------------------------------------------------ ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 320 Plus Park Boulevard, Nashville, TN 37217 ------------------------------------------------------------ ITEM 2(a). NAME OF PERSON FILING: Joseph D. Maxwell ------------------------------------------------------------ ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 320 Plus Park Boulevard, Nashville, TN 37217 ------------------------------------------------------------ ITEM 2(c). CITIZENSHIP: U.S.A. ------------------------------------------------------------ ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, par value $.008 per share ------------------------------------------------------------ ITEM 2(e). CUSIP NUMBER: 892356106 ------------------------------------------------------------ ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING 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, Page 3 of 6 Pages 4 (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 13d-1(b)(1)(ii)(F), (g) [ ] Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G); see Item 7, (h) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H). ITEM 4. OWNERSHIP. (a) Amount beneficially owned: 450,059 ------------------------------------------------------------ This amount includes 218,992 shares held by Mr. Maxwell's wife, 8,875 shares held by Mr. Maxwell's daughter and 3,200 shares held by Mr. Maxwell's son, as to which Mr. Maxwell disclaims beneficial ownership pursuant to Rule 13d-4. Under certain circumstances, Mr. Maxwell, his wife, his daughter and/or his son could be viewed as a group within the meaning of Regulation 13D-G. Mr. Maxwell disclaims membership in any such group. This amount excludes 20,888 shares held for Mr. Maxwell's account by the Tractor Supply Company Employee 401(k) Retirement Plan. Mr. Maxwell has neither voting power nor investment power with respect to these shares and accordingly disclaims beneficial ownership of them pursuant to Rule 13d-4. (b) Percent of class: 5.2% ------------------------------------------------------------ (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 450,059 ---------- (ii) Shared power to vote or to direct the vote 0 ---------- (iii) Sole power to dispose or to direct the disposition of 450,059 ---------- (iv) Shared power to dispose or to direct the disposition of 0 ---------- Page 4 of 6 Pages 5 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. 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. Page 5 of 6 Pages 6 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. Date: February 14, 1997 Joseph D. Maxwell ---------------------------- By: /s/ Michael J. Kincaid --------------------------- Michael J. Kincaid Attorney-in-Fact* - -------- * Pursuant to a Power of Attorney, dated March 14, 1994, filed with the Reporting Person's Form 3, dated March 22, 1994, which is hereby incorporated herein by reference. Page 6 of 6 Pages -----END PRIVACY-ENHANCED MESSAGE-----