-----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, VT5FjBtgffDS0tsqY6OXQOeDqNdUB6a+BM9fudE6i7JWeBLuzdKTF9QAAwbfF+GO croq9K9msE+WgoYrtogIpg== 0000059558-97-000008.txt : 19970211 0000059558-97-000008.hdr.sgml : 19970211 ACCESSION NUMBER: 0000059558-97-000008 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970207 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SOUTHWEST WATER CO CENTRAL INDEX KEY: 0000092472 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] IRS NUMBER: 951840947 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-31592 FILM NUMBER: 97520394 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE STE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 BUSINESS PHONE: 8189151551 MAIL ADDRESS: STREET 1: 225 N BARRANCA AVENUE STREET 2: SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 FORMER COMPANY: FORMER CONFORMED NAME: SUBURBAN WATER SYSTEMS DATE OF NAME CHANGE: 19751202 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LINCOLN NATIONAL CORP CENTRAL INDEX KEY: 0000059558 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 351140070 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 200 EAST BERRY STREET STREET 2: PO BOX 1110 CITY: FORT WAYNE STATE: IN ZIP: 46802 BUSINESS PHONE: 2194552000 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.9)* SOUTHWEST WATER COMPANY (Name of Issuer) Series A, 5-1/4% Preferred Shares Cumulative, $.01 Par Value (Title of Class of Securities) 845331206 (CUSIP Number) Check the following box if a fee is being paid with this Statement. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) [ ] *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 ( 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 Notes). CUSIP NO.:845331206 1. Name of reporting person S.S. or I.R.S. Identification No. of reporting person: Lincoln National Corporation; 35-1140070 2. Check the appropriate box if a member of a group (a) [ ] (b) [X] 3. SEC use only . . . . . . . . . . . . . . . . . . . . . 4. Citizenship or place of organization: Indiana Number of shares beneficially owned by reporting person with: 5. Sole voting power: Not Applicable 6. Shared voting power: 3,607 7. Sole dispositive power: Not Applicable 8. Shared dispositive power: 3,607 9. Aggregate amount beneficially owned by reporting person: 3,607 10. Check if the aggregate amount in row (9) excludes certain Shares: Not applicable 11. Percent of class represented by amount in row (9): 34.88% 12. Type of reporting person: HC CUSIP NO.: 845331206 1. Name of reporting person S.S. or I.R.S. Identification No. of reporting person: The Lincoln National Life Insurance Company; 35-0472300 2. Check the appropriate box if a member of a group (a) [ ] (b) [X] 3. SEC use only . . . . . . . . . . . . . . . . . . . . . 4. Citizenship or place of organization: Indiana Number of shares beneficially owned by reporting person with: 5. Sole voting power: Not Applicable 6. Shared voting power: 3,607 7. Sole dispositive power: Not Applicable 8. Shared dispositive power: 3,607 9. Aggregate amount beneficially owned by reporting person: 3,607 10. Check if the aggregate amount in row (9) excludes certain shares: Not applicable 11. Percent of class represented by amount in row (9): 34.88% 12. Type of reporting person: IC CUSIP NO.: 845331206 1. Name of reporting person S.S. or I.R.S. Identification No. of reporting person: Lincoln Investment Management, Inc.; 35-1753930 2. Check the appropriate box if a member of a group (a) [ ] (b) [X] 3. SEC use only . . . . . . . . . . . . . . . . . . . . . 4. Citizenship or place of organization: Indiana Number of shares beneficially owned by reporting person with: 5. Sole voting power: Not Applicable 6. Shared voting power: 3,607 7. Sole dispositive power: Not Applicable 8. Shared dispositive power: 3,607 9. Aggregate amount beneficially owned by reporting person: 3,607 10. Check if the aggregate amount in row (9) excludes certain shares: Not applicable 11. Percent of class represented by amount in row (9): 34.88% 12. Type of reporting person: IA Item 1 (a) Name of Issuer: Southwest Water Company Item 1 (b) Address of issuer's principal executive office: 225 North Barranca Avenue, Suite 200 West Covina, CA 91791-1605 Item 2 (a) Name of person filing: Lincoln National Corporation The Lincoln National Life Insurance Company Lincoln Investment Management, Inc. Item 2 (b) Address of principal business office: Lincoln National Corporation 200 East Berry Street Fort Wayne, IN 46802-2706 The Lincoln National Life Insurance Company 1300 South Clinton Street Fort Wayne, IN 46802-3506 Lincoln Investment Management, Inc. 200 East Berry Street Fort Wayne, IN 46802 Item 2 c) Citizenship: 1. Lincoln National Corporation is an Indiana corporation 2. The Lincoln National Life Insurance Company is an Indiana corporation 3. Lincoln Investment Management, Inc. Is an Illinois corporation Item 2 (d) Title of class of securities: Series A, 5-1/4% Preferred Shares, Cumulative, $.01 par value Item 2 (e) CUSIP No.: 845331206 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 (b) [ ] Bank (c) [2] Insurance company (d) [ ] Investment company (e) [3] Investment adviser (f) [ ] Employee Benefit Plan, or Endowment Fund (g) [1] Parent Holding Company (h) [ ] Group 1. Lincoln National Corporation 2. The Lincoln National Life Insurance Company 3. Lincoln Investment Management, Inc. Item 4 Ownership: (a) Amount beneficially owned: See No.9 on cover pages. (b) Percent of class: See No.11 on cover pages. Number of shares as to which such person has: (i) sole power to vote or to direct the vote (ii) shared power to vote or to direct the vote (iii)sole power to dispose or to direct the disposition of (iv) shared power to dispose or to direct the disposition of See Nos.5, 6, 7 and 8 on cover 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: The parent holding company, Lincoln National Corporation, an Indiana corporation (the Parent), owns 100% of the shares of capital stock of Lincoln Investment Management, Inc., an Illinois corporation (LIM), and The Lincoln National Life Insurance Company, an Indiana corporation (LNL).LIM cts as investment adviser to LNL and other clients and is registered as an investment adviser under Section 203 of the Investment Adviser Act of 1940. LNL is classified as an insurance company as defined in Section 3(a)(19) of the Securities Exchange Act of 1934. Item 8 Identification and classification of members of the group: Not applicable Item 9 Notice of Dissolution of group: Not applicable Item 10 Certification: By signing below the undersigned certifies that, to the best of his knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. SIGNATURE 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:February 6, 1997 LINCOLN NATIONAL CORPORATION By:/s/H. THOMAS MCMEEKIN Name: H. Thomas McMeekin itle: Executive Vice President LINCOLN INVESTMENT MANAGEMENT, INC. By: /S/ANN L. WARNER Name: Ann L. Warner itle: Senior Vice President THE LINCOLN NATIONAL LIFE INSURANCE COMPANY By: /S/STEVEN R. BRODY Name: Steven R. Brody Title: Vice President -----END PRIVACY-ENHANCED MESSAGE-----