0001104659-17-026721.txt : 20170427 0001104659-17-026721.hdr.sgml : 20170427 20170427110333 ACCESSION NUMBER: 0001104659-17-026721 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20170427 DATE AS OF CHANGE: 20170427 GROUP MEMBERS: ALEXANDRA ERNST GROUP MEMBERS: B. BROS. REALTY, LLC GROUP MEMBERS: CAROLYN B. SICHER GROUP MEMBERS: CAROLYN S. FABRICI GROUP MEMBERS: DAVID M. DANZIGER GROUP MEMBERS: EDGAR M. CULLMAN III GROUP MEMBERS: EDGAR M. CULLMAN, JR. GROUP MEMBERS: ELISSA F. CULLMAN GROUP MEMBERS: GEORGINA CULLMAN GROUP MEMBERS: JESSICA P. KERNS GROUP MEMBERS: JOHN J. KIRBY GROUP MEMBERS: JOHN L. ERNST GROUP MEMBERS: LUCY C. DANZIGER GROUP MEMBERS: MARGOT P. ERNST GROUP MEMBERS: MATTHEW L. ERNST GROUP MEMBERS: MICHAEL S. GAMZON GROUP MEMBERS: REBECCA D. GAMZON GROUP MEMBERS: RICHARD M. DANZIGER GROUP MEMBERS: SAMUEL B. CULLMAN GROUP MEMBERS: SHEENA S. DANZIGER GROUP MEMBERS: SUSAN R. CULLMAN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GRIFFIN INDUSTRIAL REALTY, INC. CENTRAL INDEX KEY: 0001037390 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500] IRS NUMBER: 060868486 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-51253 FILM NUMBER: 17786960 BUSINESS ADDRESS: STREET 1: ONE ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2122187910 MAIL ADDRESS: STREET 1: ONE ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: GRIFFIN LAND & NURSERIES INC DATE OF NAME CHANGE: 19970408 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DANZIGER FREDERICK M CENTRAL INDEX KEY: 0001042441 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-BUILDING MATERIALS, HARDWARE, GARDEN SUPPLY [5200] STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: 641 LEXINGTON AVE. STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 100224503 SC 13D/A 1 a17-8123_1sc13da.htm SC 13D/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

SCHEDULE 13D

 

Under the Securities Exchange Act of 1934
(Amendment No.   4)*

GRIFFIN INDUSTRIAL REALTY, INC.

(Name of Issuer)

 

Common Stock $0.01 Par Value

(Title of Class of Securities)

 

398231 10 0

(CUSIP Number)

 

Frederick M. Danziger

641 Lexington Avenue

New York, New York 10022 (212) 218-7910

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

Voluntary Update

(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 (b) (3) or (4), check the following box o.

Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d- 1 (a) for other parties to whom copies are to be sent.

* 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.  299890108

 

 

1.

Names of Reporting Persons
S.S. or  I.R.S. Identification Nos. of Above Persons
Edgar M. Cullman, Jr.

 

 

2.

Check the Appropriate Box If a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x  See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire shares

 

 

5.

Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
69,225

 

8.

Shared Voting Power
850,199

 

9.

Sole Dispositive Power
69,225

 

10.

Shared Dispositive Power
850,199

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
69,225

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
1.3

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

2



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Elissa F. Cullman

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x                                                                                                                            See Item 6 and Insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
14,850

 

8.

Shared Voting Power
310,599

 

9.

Sole Dispositive Power
14,850

 

10.

Shared Dispositive Power
310,599

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
14,850

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.3

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

3



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Susan R. Cullman

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x                                                                                                                            See Item 6 and Insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
48,160

 

8.

Shared Voting Power
767,361

 

9.

Sole Dispositive Power
48,160

 

10.

Shared Dispositive Power
767,361

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
48,160

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.1

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

4



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Lucy C. Danziger

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x                                                                                                                            See Item 6 and Insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
93,286

 

8.

Shared Voting Power
513,817

 

9.

Sole Dispositive Power
93,286

 

10.

Shared Dispositive Power
513,817

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
93,286

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
1.9

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

5



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Frederick M. Danziger

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x                                                                                                                            See Item 6 and Insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
(see Item 3)

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
103,534

 

8.

Shared Voting Power
204,755

 

9.

Sole Dispositive Power
103,534

 

10.

Shared Dispositive Power
204,755

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
103,534

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
2.1

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

6



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
David M. Danziger

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
59,402

 

8.

Shared Voting Power
448,257

 

9.

Sole Dispositive Power
59,402

 

10.

Shared Dispositive Power
448,257

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
59,402

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
1.2

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

7



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of above persons
Carolyn S. Fabrici

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
0

 

8.

Shared Voting Power
116,037

 

9.

Sole Dispositive Power
0

 

10.

Shared Dispositive Power
116,037

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

8



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
John L. Ernst

 

 

2.

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
7,349

 

8.

Shared Voting Power
373,606

 

9.

Sole Dispositive Power
7,349

 

10.

Shared Dispositive Power
373,606

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
4,670

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.1

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

9



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of above persons
Margot P. Ernst

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
0

 

8.

Shared Voting Power
21,777

 

9.

Sole Dispositive Power
0

 

10.

Shared Dispositive Power
21,777

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.0

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

10



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Alexandra Ernst

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
1,748

 

8.

Shared Voting Power
92,680

 

9.

Sole Dispositive Power
1,748

 

10.

Shared Dispositive Power
92,680

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,748

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
less than 0.1

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

11



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
B. Bros. Realty LLC

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
233,792

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
233,792

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
233,792

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
4.7

 

 

14.

Type of Reporting Person (See Instructions)
LLC

 

12



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Matthew L. Ernst

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
1,650

 

8.

Shared Voting Power
3,526

 

9.

Sole Dispositive Power
1,650

 

10.

Shared Dispositive Power
3,526

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,650

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
less than 0.1

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

13



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Rebecca D. Gamzon

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
10,550

 

8.

Shared Voting Power
415,733

 

9.

Sole Dispositive Power
10,550

 

10.

Shared Dispositive Power
415,733

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
10,550

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.2

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

14



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
Edgar M. Cullman III

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
11,259

 

8.

Shared Voting Power
310,599

 

9.

Sole Dispositive Power
11,259

 

10.

Shared Dispositive Power
310,599

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
11,259

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.2

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

15



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
Carolyn B. Sicher

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
21,422

 

8.

Shared Voting Power
322,607

 

9.

Sole Dispositive Power
21,422

 

10.

Shared Dispositive Power
322,607

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
21,422

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.4

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

16



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
Samuel B. Cullman

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
13,594

 

8.

Shared Voting Power
310,599

 

9.

Sole Dispositive Power
13,594

 

10.

Shared Dispositive Power
310,599

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
13,594

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.3

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

17



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of above persons
Jessica P. Kerns

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
1,250

 

8.

Shared Voting Power
43,884

 

9.

Sole Dispositive Power
1,250

 

10.

Shared Dispositive Power
43,884

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,250

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
less than 0.1

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

18



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of above persons
Georgina Cullman

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
9,550

 

8.

Shared Voting Power
330,599

 

9.

Sole Dispositive Power
9,550

 

10.

Shared Dispositive Power
330,599

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
9,550

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.2

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

19



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
Michael S. Gamzon

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
93,656

 

8.

Shared Voting Power
50,000

 

9.

Sole Dispositive Power
93,656

 

10.

Shared Dispositive Power
50,000

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
93,656

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
1.9

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

20



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
John J. Kirby

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
4,730

 

8.

Shared Voting Power
157,493

 

9.

Sole Dispositive Power
4,730

 

10.

Shared Dispositive Power
157,493

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
4,730

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.1

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

21



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
Sheena S. Danziger

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
0

 

8.

Shared Voting Power
50,000

 

9.

Sole Dispositive Power
0

 

10.

Shared Dispositive Power
50,000

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

22



 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of above persons
Richard M. Danziger

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x See item 6 and insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
0

 

8.

Shared Voting Power
90,900

 

9.

Sole Dispositive Power
0

 

10.

Shared Dispositive Power
90,900

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

23



 

SCHEDULE 13D ITEMS

 

Explanatory Note

 

This Amendment No. 4 (this “Amendment”) amends and supplements the Schedule 13D filed on September 23, 1999 with the Securities and Exchange Commission (the “Original Schedule 13D” and, as further amended and supplemented by Amendment Nos. 1, 2 and 3 to the Original Schedule 13D, the “Schedule 13D”) by the Reporting Persons with respect to the Common Stock of the Issuer.  Capitalized terms not defined in this Amendment shall have the meaning ascribed to them in the Original Schedule 13D.

 

Item 1. Security and Issuer

 

This Amendment amends and restates Item 1 of the Schedule 13D in its entirety as set forth below:

 

This Schedule 13D relates to shares of Common Stock, par value $0.01 per share (the “Common Stock”), of Griffin Industrial Realty, Inc., a Delaware corporation (the “Issuer”). The address of the Issuer’s principal executive offices is 641 Lexington Avenue, New York, New York 11022.

 

The purpose of this Amendment No. 4 is to report the acquisitions and dispositions of shares of Common Stock by Reporting Persons after February 15, 2012, the date of Amendment No. 3 (as described in Item 4), to update changes of trustees since Amendment No. 3, including those resulting from the deaths of Edgar and Louise Cullman and to update Insert 1.

 

Item 2. Identity and Background

 

This Amendment amends and restates Item 2 of the Schedule 13D in its entirety as set forth below:

 

See Insert 1 attached hereto.

 

None of the persons filing this Schedule (the “Reporting Persons”) has been convicted in a criminal proceeding (other than for traffic violations or similar misdemeanors) during the past 5 years or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violations with respect to such laws. All individuals are citizens of the United States and all trusts, partnerships and corporations are organized or formed under the laws of the United States.

 

24



 

Item 3. Source and Amount of Funds or Other Consideration

All purchases reported in this Amendment were funded with cash held in trusts or individual accounts that made the purchases, as applicable. The aggregate purchase price of the purchases by, or for the benefit of, Lucy C. Danziger was $1,672,189 for 52,969 shares.  The aggregate purchase price of the purchases by trusts for the benefit of Frederick M. Danziger was $47,700 for 1,500 shares. The aggregate purchase price of the purchases by Michael S. Gamzon was $128,220 for 5,000 shares. The aggregate purchase price of the purchases by John J. Kirby, Jr. was $26,510 for the 1,000 shares.

 

Item 4. Purpose of Transaction

This Amendment amends and restates Item 4 of the Schedule 13D in its entirety as set forth below:

 

The transactions reported in this Amendment No. 4 reflect gifts of an aggregate of 129,612 shares to charities by Edgar M. Cullman, Jr., Edgar M. Cullman III and Susan R. Cullman, gifts of 40,000 shares by Frederick M. Danziger to trusts, gifts of 20,000 shares by Edgar M. Cullman, Jr. to a trust, gifts by David M. Danziger to his children, who are parties to this filing, of 5,580 shares and a gift of 1,600 shares by the Samuel J. Bloomingdale Foundation.  In addition, there were numerous changes in the trustees of trusts that are parties to this filing, and there were transfers effected as a result of the deaths of Edgar M. Cullman and Louise B. Cullman.

 

The purpose of the acquisitions of the Issuer’s Common Stock reported in the Schedule 13D is to hold such shares for investment purposes. The acquisition of Common Stock is unrelated to any plans or proposals of the kind specified in clauses (a) through (j) of Item 4 of Schedule 13D.  Michael S. Gamzon, a Reporting Person, is the President and Chief Executive Officer of the Issuer and a member of its Board of Directors; Frederick M. Danziger, a Reporting Person, is the Executive Chairman of the Board of Directors of the Issuer; and Edgar M. Cullman, Jr., a Reporting Person, is a member of the Board of Directors of the Issuer.  As such, the aforementioned individuals intend to participate in and actively influence the affairs of the Issuer and may acquire additional Common Stock of the Issuer through compensatory grants by the Issuer or through public or private purchases.  In the ordinary course of their duties as an executive officer and/or director of the Issuer, as applicable, the Reporting Persons have and expect in the future to discuss and to make decisions regarding plans or proposals with respect to the matters specified in clauses (a) through (j) of Item 4 of Schedule 13D with the Issuer.

 

The Reporting Persons may dispose of a portion of their respective interests in the Issuer through public or private sales, transfers to trusts with which the Reporting Persons may or may not serve as a trustee, or by gift or donation to family members, charitable organizations or third parties.  Except as previously disclosed by the Issuer in its reports pursuant to the Securities Exchange Act of 1934, as amended, the Reporting Persons have no current plans or proposals related to, or which they believe would result in, any of the events specified in clauses (a) through (j) of Item 4 of Schedule 13D.

 

25



 

Item 5. Interest in Securities of the Issuer

This Amendment amends and restates Item 5 of the Schedule 13D in its entirety as set forth below:

 

See Insert 1 hereto and cover pages.

Voting power and power to direct disposition of securities is shared by trustees of each of the trusts referred to in Item 2 as set forth on Insert 1. The officers and directors of the Samuel J. Bloomingdale Foundation, Inc., and Louise B. and Edgar M. Cullman Foundation, Inc. (collectively, the “Foundations”) referred to in Insert 1 as set forth on Insert 1 hereto share voting power and the power to dispose of such securities. Such shares are, however, not included in the individual totals shown on cover pages. Shares owned by B. Bros. Realty LLC are shown as beneficially owned for voting and dispositive purposes by both Managers of that LLC and also by the company itself.

Item 6. Contract, Arrangement or Understanding with Respect to Securities of the Issuer

None other than an informal understanding that the persons and entities listed in Insert 1 attached hereto will hold and vote together the shares of Issuer’s Common Stock owned by each of them. However, Trustees of trusts and partners of the partnership listed in Insert 1 may act independently where fiduciary responsibilities so require. Furthermore, the persons and entities listed in Insert 1 may acquire additional shares of the Issuer’s Common Stock.

Although the Foundations are included in Insert 1, no arrangement of any kind exists with respect to any of the Issuer’s Common Stock held by such Foundations. Such Foundations were included in Insert 1 only because certain of the undersigned are officers and directors of such Foundations.

Item 7. Material to the Filed as Exhibits

A copy of the Joint Filing Agreement executed by the Reporting Persons, including powers of attorney, is attached hereto as Exhibit 1 to Schedule 13D.

 

26



 

Each of the undersigned hereby certifies after reasonable inquiry, that to the best of his/her knowledge and belief, the information set forth in this statement is true, complete and correct.

 

Date: 4/27/2017

 

 

 

Susan R. Cullman*

 

 

Susan R. Cullman, individually, as

 

 

Custodian and as Trustee of the Trusts

 

 

of which she is a Trustee as indicated

 

 

on Insert 1 hereto and as executor of

 

 

Estate of Edgar M. Cullman

 

 

 

 

 

Edgar M. Cullman, Jr.*

 

 

Edgar M. Cullman, Jr., individually, as

 

 

Custodian and as Trustee of the Trusts

 

 

of which he is a Trustee as indicated

 

 

on Insert 1 hereto and as executor of

 

 

Estate of Edgar M. Cullman

 

 

 

 

 

Lucy C. Danziger*

 

 

Lucy C. Danziger, individually and as

 

 

Trustee of the Trusts of which she is a

 

 

Trustee as indicated on Insert 1 hereto and

 

 

as executor of Estate of Edgar M. Cullman

 

 

 

 

 

John L. Ernst*

 

 

John L. Ernst, individually and as

 

 

Trustee of the Trusts of which he is a

 

 

Trustee, and as Guardian,

 

 

all as indicated on Insert 1 hereto

 

27



 

 

Carolyn S. Fabrici*

 

 

Carolyn S. Fabrici, individually and as

 

 

Trustee of the Trusts of which she is a

 

 

Trustee as indicated on Insert 1 hereto

 

 

 

 

 

/s/ Frederick M. Danziger

 

 

Frederick M. Danziger, individually and

 

 

as Trustee of the Trusts of which he is

 

 

a Trustee as indicated on Insert 1

 

 

hereto

 

 

 

 

 

Elissa F. Cullman*

 

 

Elissa F. Cullman, individually and as

 

 

Trustee of the Trusts of which she is a

 

 

Trustee as indicated on Insert 1 hereto

 

 

 

 

 

Rebecca D. Gamzon*

 

 

Rebecca D. Gamzon, individually

 

 

formerly Rebecca B. Danziger as custodian for minor childern Andrew Gamzon and Sarah Gamzon

 

 

 

 

 

Matthew L. Ernst*

 

 

Matthew L. Ernst, individually, as custodian for minor children Jonah Ernst and Odessa Ernst

 

 

 

 

 

B. BROS. REALTY LLC

 

 

 

 

 

 

 

 

By

John L. Ernst*

 

 

 

John L. Ernst,

 

 

 

Co Managing Member

 

 

 

 

 

Margot P. Ernst*

 

 

Margot P. Ernst, not individually but

 

 

as Trustee of the Trusts of which she

 

 

is a Trustee as indicated on Insert 1

 

 

hereto

 

 

 

 

 

Alexandra Ernst*

 

 

Alexandra Ernst, individually and as

 

 

Trustee of the Trusts of which she is a

 

 

Trustee as indicated on Insert 1 hereto as custodian of minor children Cooper Siegel and Shepard Siegel

 

28



 

 

David M. Danziger*

 

 

David M. Danziger, individually, as custodian for minor children Sameena Danziger and Sunaina Danziger

 

 

 

 

 

Edgar M. Cullman III*

 

 

Edgar M. Cullman III

 

 

 

 

 

Caroline B. Sicher*

 

 

Caroline B. Sicher, individually, Trustee for Trusts which she is a beneficiary

 

 

 

 

 

By:

/s/ Frederick M. Danziger

 

 

Frederick M. Danziger

 

 

Attorney-in-Fact

 

 

 

 

 

Samuel Cullman*

 

 

Samuel Cullman, individually

 

 

 

 

 

Jessica P Kerns*

 

 

Jessica P Kerns, individually and as

 

 

Trustee of Trusts which she is a Trustee

 

 

 

 

 

Georgina Cullman*

 

 

Georgina Cullman, individually

 

 

 

 

 

Michael Gamzon*

 

 

Michael Gamzon, individually as custodian for minor children Andrew Gamzon and Sarah Gamzon and as

 

 

Trustee of Trusts which he is a

 

 

Trustee indicated on Insert 1.

 

 

 

 

 

Sheena Danziger*

 

 

Sheena Danziger as custodian for minor children Sameena Danziger and Sunaina, Danziger and as

 

 

Trustee of Trusts which she is a

 

 

Trustee as indicated on Insert 1

 

 

 

 

 

John J. Kirby*

 

 

Individually and as Trustee of the

 

 

Trusts of which he is a

 

 

Trustee as indicated on Insert 1 hereto.

 

 

 

 

 

Richard M. Danziger*

 

 

Trust of which he is a

 

 

Trustee as indicated on Insert 1 hereto.

 


* Signed by Frederick M. Danziger under Joint Filing Agreement.

 

29



 

Griffin Industrial Realty, Inc.

 

 

Schedule 13D

 

Insert 1—Item 2.

Amendment #4

 

 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

(2)

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

 

 

 

 

 

 

 

 

 

 

0

 

0

 

 

 

 

 

 

 

 

 

 

 

 

 

1.

 

Edgar M. Cullman, Jr.
(“EMC, Jr.”)

 

770 Park Avenue
New York, N.Y.
10021

 

Co Managing Member
Culbro, LLC
880 Third Ave
New York, N.Y.

 

(108,553

)

67,313

 

1.35

 

 

 

 

 

 

 

 

 

 

 

 

 

2.

 

Elissa F. Cullman
(“EFC”)

 

770 Park Avenue
New York, New
York 10021

 

Interior Decorator

 

 

 

14,850

 

.30

 

 

 

 

 

 

 

 

 

 

 

 

 

3.

 

Louise B. Cullman
(“LBC”)

Deceased

 

 

 

 

Housewife

 

(18,410

)

0

 

0

 

 

 

 

 

 

 

 

 

 

 

 

 

4.

 

Susan R. Cullman
(“SRC”)

 

88 Saddle Rock Road
Stamford, CT 06902

 

Housewife

 

(32,824

)

48,160

 

.96

 

 

 

 

 

 

 

 

 

 

 

 

 

5.

 

Lucy C. Danziger
(“LCD”)

 

2 E. 73rd St.
New York, N.Y.

 

Housewife

 

3,000 

 

63,322

 

1.27

 

30



 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

(2)

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

6.

 

Frederick M.
Danziger
(“FMD”)

 

2 E. 73rd St.
New York, N.Y. 10021

 

Griffin Industrial

Realty, Inc.
Executive Chairman

641 Lexington Avenue

26th Floor

New York, New York

 

(40,000

)

63,534

 

1.27

 

 

 

 

 

 

 

 

 

 

 

 

 

7.

 

David M. Danziger
(“DMD”)

 

115 Central Park West
NY, NY 10023

 

GCL 820 LLC
880 Third Ave
10622
New York, New York

 

(5,580

)

23,577

 

.47

 

 

 

 

 

 

 

 

 

 

 

 

 

8.

 

Rebecca D. Gamzon
(“RDG”)

 

1165 Park Ave
Apt 15A
N.Y., N.Y. 10128

 

Housewife

 

 

 

10,550

 

.21

 

 

 

 

 

 

 

 

 

 

 

 

 

9.

 

John L. Ernst
(“JLE”)

 

860 U.N. Towers
New York, N.Y. 10017

 

Chairman & President
Bloomingdale Properties, Inc.*
(Investments)
641 Lexington Avenue
New York, N.Y.

 

 

 

4,670

 

.09

 

 

 

 

 

 

 

 

 

 

 

 

 

10.

 

Alexandra Ernst
(“AE”)

 

412 Trout Run
Arlington, VT
05250

 

Writer

 

 

 

1,548

 

.03

 

 

 

 

 

 

 

 

 

 

 

 

 

11.

 

LCD, EMC, Jr. and
SRC,
Trustees
u/w/o Joseph F. Cullman, Jr.*
f/b/o/:
EMC

 

 

 

 

 

(76,448

)

0

 

0

 

 

 

 

 

 

 

 

 

 

 

 

 

12.

 

Carolyn S. Fabrici
(“CSF”)

 

10195 East Happy Valley Road Scottsdale, AZ

85255


 

Housewife

 

 

 

0

 

0

 

31



 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Commn

 

 

(1)

 

(2)

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Sto

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

13.

 

AE
f/b/o:
Cooper S. Siegel
    a minor

 

 

 

 

 

 

 

200

 

.004

 

 

 

 

 

 

 

 

 

 

 

 

 

14.

 

Carolyn B. Sicher,
(“CBS”)

 

177 E. 77th St.

Apt. 4C

New York, N.Y.

10021

 

Housewife

 

 

 

21,422

 

.43

 

 

 

 

 

 

 

 

 

 

 

 

 

15.

 

LCD Trustee
u/i/o LBC (12/16/43)*
f/b/o:
    LCD

 

 

 

 

 

 

 

29,964

 

.60

 

 

 

 

 

 

 

 

 

 

 

 

 

16.

 

SRC, CBS, EMC, Jr.,

John J. Kirby (“JJK”)
Trustees
u/i/o Samuel J. Bloomingdale
(“SJB”) and
Rita G. Bloomingdale
(“RGB”) (1/10/50)*
f/b/o:
    SRC

 

 

 

 

 

 

 

50,880

 

1.02

 

 

 

 

 

 

 

 

 

 

 

 

 

17.

 

SRC, EMC, Jr., CBS and JJK
Trustees
u/i/o EMC and LBC
(3/21/50)*
f/b/o:
    SRC

 

 

 

 

 

 

 

18,714

 

.37

 

 

 

 

 

 

 

 

 

 

 

 

 

18.

 

DMD, RDG and LCD
Trustees
u/i/o SJB (12/21/50)*
f/b/o:
    LCD

 

 

 

 

 

 

 

29,192

 

.58

 

32



 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

(2)

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

19.

 

EMC, Jr., EFC, SBC, GDC and EMC III
Trustees
u/i/o SJB (12/21/50)*
f/b/o:
    EMC, Jr.

 

 

 

 

 

 

 

25,006

 

.50

 

 

 

 

 

 

 

 

 

 

 

 

 

20.

 

SRC, EMC, Jr.,CBS and JJK Trustees
u/i/o SJB (12/21/50)*
f/b/o:
    SRC

 

 

 

 

 

 

 

26,000

 

.52

 

 

 

 

 

 

 

 

 

 

 

 

 

21.

 

LCD, DMD and RDG
Trustees
u/i/o RGB (12/21/50)*
f/b/o:

    LCD

 

 

 

 

 

 

 

5,418

 

.11

 

 

 

 

 

 

 

 

 

 

 

 

 

22.

 

EMC, Jr., EFC, SBS,

GDC and EMC III
Trustees
u/i/o RGB (12/21/50)*
f/b/o:
    EMC, Jr.

 

 

 

 

 

 

 

9,974

 

.20

 

 

 

 

 

 

 

 

 

 

 

 

 

23.

 

SRC, EMC Jr., CBS and JJK
Trustees
u/i/o RGB (12/21/50)*
f/b/o:
    SRC

 

 

 

 

 

 

 

11,840

 

.24

 

 

 

 

 

 

 

 

 

 

 

 

 

24.

 

LCD, DMD and RDG
Trustees
u/i/o RGB (6/14/51)*
f/b/o:
    LCD

 

 

 

 

 

35,000

 

88,818

 

1.78

 

 

 

 

 

 

 

 

 

 

 

 

 

25.

 

EMC, Jr., EFC, SBC,

GDC and EMC III
Trustees
u/i/o RGB (6/14/51)*
f/b/o:
    EMC, Jr.

 

 

 

 

 

 

 

40,190

 

.80

 

33



 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

(2)

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

26.

 

EMC, Jr., CBS, JJK

and SRC
Trustees u/i/o RGB
(6/14/51)*
f/b/o:
    SRC

 

 

 

 

 

 

 

40,090

 

.80

 

 

 

 

 

 

 

 

 

 

 

 

 

27.

 

Margot P. Ernst
(“MPE”), AE
and JLE, Trustees
u/i/o Susan B. Ernst
(“SBE”) (4/9/52)*
f/b/o:

    Descendants of JLE

 

 

 

 

 

 

 

4,364

 

.09

 

 

 

 

 

 

 

 

 

 

 

 

 

28.

 

JLE, AE and CSF,
Trustees
u/i/o SBE (4/9/52)*
f/b/o:

    Descendants of CSF

 

 

 

 

 

 

 

3,844

 

.08

 

 

 

 

 

 

 

 

 

 

 

 

 

29(a).

 

EFC, EMC, Jr., EMC III,

SBC and
GDC Trustees
u/i/o LBC (1/6/53)*
f/b/o:Desc of EMC Jr.

 

 

 

 

 

 

 

38,976

 

.78

 

 

 

 

 

 

 

 

 

 

 

 

 

29(b).

 

DMD, RDG, LCD and FMD
Trustees
u/i/o LBC (1/6/53)

    Descendants of LCD

 

 

 

 

 

 

 

10,400

 

.21

 

 

 

 

 

 

 

 

 

 

 

 

 

29(c).

 

EMC, Jr., SRC and
CBS Trustees
u/i/o LBC (1/6/53)

    Descendants of SRC

 

 

 

 

 

 

 

26,284

 

.53

 

 

 

 

 

 

 

 

 

 

 

 

 

30.

 

MPE, AE and
JLE, Trustees
u/i/o SBE (1/6/53)*
f/b/o:

    Descendants of JLE

 

 

 

 

 

 

 

2,580

 

.06

 

 

 

 

 

 

 

 

 

 

 

 

 

31.

 

JLE, AE and CSF
Trustees
u/i/o SBE (1/6/53)*
f/b/o:

    Descendants of CSF

 

 

 

 

 

 

 

11,701

 

.23

 

34



 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or 

 

 

 

 

 

 

 

 

 

 

employment

 

 

 

 

 

 

 

 

 

 

and the name, principal

 

 

 

 

 

 

 

 

 

 

business and address of 

 

Number of 

 

Total number of

 

 

 

 

 

 

any

 

shares

 

shares of the

 

 

 

 

 

 

corporation or other

 

of Issuer’s

 

Issuer’s

 

 

 

 

 

 

organization in which 

 

Common Stock

 

Common

 

 

(1)

 

(2)

 

such

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

employment is 

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

And 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

32(a).





 

LCD, DMD
and RDG
Trustees
u/i/o LBC (6/30/54)*
f/b/o:
Descendants of LCD

 

 

 

 

 

 

 

25,944

 

.52

 

 

 

 

 

 

 

 

 

 

 

 

 

32(b).

 

EMC, Jr., EFC,

EMC III, SBC and
GDC Trustees
u/i/o LBC (6/30/54)
Descendants of
EMC, Jr.

 

 

 

 

 

 

 

49,502

 

.99

 

 

 

 

 

 

 

 

 

 

 

 

 

32(c).

 

SRC, EMC Jr. and
CBS, Trustees
u/i/o LBC (6/30/54)
Descendants of SRC

 

 

 

 

 

 

 

35,878

 

.72

 

 

 

 

 

 

 

 

 

 

 

 

 

33.

 

CSF, AE and JLE, Trustees
u/i/o SJB (12/21/50)*
f/b/o:
    Dorothy P. Ernst

 

 

 

 

 

 

 

3,974

 

.08

 

 

 

 

 

 

 

 

 

 

 

 

 

34.

 

CSF, AE
and JLE
Trustees
u/i/o RGB (12/21/50)*
f/b/o:
    Dorothy P. Ernst

 

 

 

 

 

 

 

3,974

 

.08

 

 

 

 

 

 

 

 

 

 

 

 

 

35(a).




 

LCD, DMD and
RDG Trustees
u/i/o EMC (3/23/55)*
f/b/o/:
Descendants of LCD

 

 

 

 

 

 

 

10,830

 

.22

 

 

 

 

 

 

 

 

 

 

 

 

 

35(b).

 

EMC Jr., EFC, EMC III, SBC and GDC Trustees
Descendants of EMC, Jr.

 

 

 

 

 

 

 

15,408

 

.31

 

 

 

 

 

 

 

 

 

 

 

 

 

35(c).

 

SRC, EMC, Jr. and
CBS Trustees
u/i/o EMC (3/23/55)
Descendants of SRC

 

 

 

 

 

 

 

14,200

 

.28

 

 

 

 

 

 

 

 

 

 

 

 

 

36(a).


 

LCD, DMD and
RDG Trustees
u/i/o LBC (3/23/55)*
Descendants of LCD

 

 

 

 

 

 

 

7,000

 

.14

 

 

 

 

 

 

 

 

 

 

 

 

 

36(b).

 

EMC, Jr., EFC,

EMC III, SBC and
GDC Trustees
u/i/o LBC (3/23/55)
Descendants of EMC, Jr.

 

 

 

 

 

 

 

12,124

 

.24

 

 

 

 

 

 

 

 

 

 

 

 

 

36(c).

 

EMC, Jr., SRC and
CBS Trustees
u/i/o LBC (3/23/55)
Descendants of SRC

 

 

 

 

 

 

 

13,600

 

.27

 

 

 

 

 

 

 

 

 

 

 

 

 

37.

 

LCD, DMD and RDG Trustees
u/i/o SJB (8/2/55)*
f/b/o:

    Descendants of LCD

 

 

 

 

 

 

 

24,400

 

.49

 

35



 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

(2)

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

38.

 

EFC, EMC III, SBC, GDC and EMC, Jr.
Trustees
u/i/o SJB (8/2/55)*
f/b/o:
Descendants of
EMC, Jr.

 

 

 

 

 

 

 

34,250

 

.68

 

 

 

 

 

 

 

 

 

 

 

 

 

39.

 

EMC, Jr., CBS and SRC
Trustees
u/i/o SJB (8/2/55)*
f/b/o:

    Descendants of SRC

 

 

 

 

 

 

 

37,962

 

.76

 

 

 

 

 

 

 

 

 

 

 

 

 

40.

 

MPE, AE  and JLE
Trustees
u/i/o SJB (8/2/55)*
f/b/o:

    Descendants of JLE

 

 

 

 

 

 

 

3,194

 

.06

 

 

 

 

 

 

 

 

 

 

 

 

 

41.

 

MLE, CSF,

AE and JLE
Trustees
u/i/o SJB (8/2/55)*
f/b/o:

    Descendants of CSF

 

 

 

 

 

 

 

3,526

 

.07

 

 

 

 

 

 

 

 

 

 

 

 

 

42.

 

SRC, EMC, Jr. and LCD,
Trustees
u/w/o RGB (2/29/56)*
f/b/o:

    Descendants of LCD

 

 

 

 

 

 

 

19,228

 

.38

 

 

 

 

 

 

 

 

 

 

 

 

 

43.

 

SRC, LCD and EMC, Jr.
Trustees
u/w/o RGB (2/29/56)*
f/b/o:

Descendants of EMC, Jr.

 

 

 

 

 

 

 

20,332

 

.41

 

 

 

 

 

 

 

 

 

 

 

 

 

44.

 

EMC, Jr., SRC and CBS
Trustee
u/w/o RGB (2/29/56)*
f/b/o:

    Descendants of SRC

 

 

 

 

 

 

 

17,190

 

.34

 

36



 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or 

 

 

 

 

 

 

 

 

 

 

employment

 

 

 

 

 

 

 

 

 

 

and the name, principal

 

Number of 

 

Total number of

 

 

 

 

 

 

business and address of 

 

shares

 

shares of the

 

 

 

 

 

 

any

 

of Issuer’s

 

Issuer’s

 

 

 

 

 

 

corporation or other

 

Common Stock

 

Common

 

 

(1)

 

(2)

 

organization in which 

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

45.

 

JPK, CSF,
 AE and JLE,
 Trustees

 u/w/o RGB
 (2/29/56)*
 f/b/o:
    Descendants of
    JLE

 

 

 

 

 

 

 

39,138

 

.78

 

 

 

 

 

 

 

 

 

 

 

 

 

46.

 

JLE and CSF

Trustees
u/w/o RGB
(2/29/56)*
f/b/o:
    Descendants of
    CSF

 

 

 

 

 

 

 

39,138

 

.78

 

 

 

 

 

 

 

 

 

 

 

 

 

47.

 

Samuel J. Bloomingdale

Foundation, Inc.*

SRC, EMC. Jr. Treas. &

Dir, LCD, Secretary

C

haritable

Foundation

 

 

 

(1,600

)

18,042

 

.36

 

 

 

 

 

 

 

 

 

 

 

 

 

48.

 

Estate of Edgar M. Cullman
EMC Jr., LCD
and SRC Executors

 

 

 

 

 

(21,138

)

0

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

49.

 

LCD, SRC and EMC, Jr.,
Trustees
u/w/o F.W. Cullman
(7/23/59)*
f/b/o:
        LCD
        EMC, Jr.
        SRC

 

 

 

 

 

 

 

17,420
13,770
20,014

 

.35

.28
.40

 

 

 

 

 

 

 

 

 

 

 

 

 

50.

 

LCD, DMD and FMD,
Trustees
u/i/o SJB (4/15/66)*
f/b/o:
        DMD

 

 

 

 

 

 

 





12,524

 





.25

 

 

 

 

 

 

 

 

 

 

 

 

 

 

37



 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

 

 

 

 

 

 

 

 

 

and the name, principal

 

Number of shares

 

Total number of

 

 

 

 

 

 

business and address of 

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

(2)

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

51.

 

FMD, LCD, RDG and DMD
u/i/o EMC (12/26/72)*
f/b/o:
        LCD and DMD

            LCD and RDG

 

 

 

 

 

 

 

17,800
18,000

 

.36
.36

 

 

 

 

 

 

 

 

 

 

 

 

 

52.

 

LCD, FMD, DMD and RDG
Trustees
u/i/o EMC (12/23/76)*
f/b/o:
        DMD
        RDG

 

 

 

 

 

 

 

16,000
16,200

 

.32

.32

 

 

 

 

 

 

 

 

 

 

 

 

 

53.

 

FMD, DMD and RDG

Trustees
u/i/o LCD (12/25/76)*
f/b/o:
        DMD
        RDG

 

 

 

 

 

 

 

3,200
3,200

 

.06
.06

 

 

 

 

 

 

 

 

 

 

 

 

 

54.

 

Richard M. Danziger (“RMD”), DMD, RDG and FMD, Trustees
u/i/o LCD (12/24/69)*
f/b/o:
        RDG

 

 

 

 

 

 

 

22,800

 

.46

 

 

 

 

 

 

 

 

 

 

 

 

 

55.

 

MPE, AE and JLE,
Trustees
u/i/o RGB (6/14/51)*
f/b/o:
        JLE

 

 

 

 

 

 

 

3,081

 

.06

 

 

 

 

 

 

 

 

 

 

 

 

 

56.

 

EMC, Jr., EFC, EMC III, SBC, GDC
Trustees,
u/i/o EMC, Jr.
(12/25/76)*
f/b/o:
        EMC III
        SBC

 

 

 

 

 

 

 

7,200
7,200

 

.14
.14

 

 

 

 

 

 

 

 

 

 

 

 

 

 

38



 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

 

 

 

 

 

 

 

 

 

and the name, principal

 

Number of shares

 

Total number of

 

 

 

 

 

 

business and address of 

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

(2)

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15//2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

57.

 

EMC, Jr., EFC, EMC III
SBC and GDC

Trustees,
u/i/o EMC (12/23/76)*
f/b/o:
        EMC III
        SBC

 

 

 

 

 

 

 

20,400
20,400

 

.41
.41

 

 

 

 

 

 

 

 

 

 

 

 

 

58.

 

EMC, Jr., EFC,

EMC III, SBC and
GDC Trustees
u/i/o EMC (12/23/76)*
f/b/o GDC

 

 

 

 

 

 

 

20,000

 

.40

 

 

 

 

 

 

 

 

 

 

 

 

 

59.

 

EMC, Jr., and CBS, Trustees,
u/i/o SRC (12/25/76)*
f/b/o:
        CBS

 

 

 

 

 

 

 

14,000

 

.28

 

 

 

 

 

 

 

 

 

 

 

 

 

60.

 

EMC, Jr., CBS and SRC, Trustees
u/i/o EMC (12/23/76)*
f/b/o:
        CBS

 

 

 

 

 

 

 

16,000

 

.32

 

 

 

 

 

 

 

 

 

 

 

 

 

61.

 

FMD and R.M. Danziger (“RMD”)
Trustees
u/i/o Elsie B. Paskus*
f/b/o:
        R.M. Danziger

 

 

 

 

 

 

 

3,000

 

.06

 

 

 

 

 

 

 

 

 

 

 

 

 

62.

 

FMD and RMD
Trustees
u/i/o Elsie B. Paskus*
f/b/o:
        FMD

 

 

 

 

 

 1,000

 

34,600

 

.69

 

 

 

 

 

 

 

 

 

 

 

 

 

63.

 

B. Bros. LLC 
JLE, Co Managing Member
SRC, Co Managing Member

 

 

 

 

 

 

 

233,792

 

4.68

 

39



 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

 

 

 

 

 

 

 

 

 

and the name, principal

 

Number of 

 

Total number of

 

 

 

 

 

 

business and address of 

 

shares

 

shares of the

 

 

 

 

 

 

any

 

of Issuer’s

 

Issuer’s

 

 

 

 

 

 

corporation or other

 

Common Stock

 

Common

 

 

(1)

 

(2)

 

organization in which 

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

64.

 

EMC, Jr. and SRC
Executors of the
Estate of Justus Heijmans*

 

 

 

 

 

 

 

202

 

.004

 

 

 

 

 

 

 

 

 

 

 

 

 

65.

 

JLE, MPE and AE,
Trustees
u/a/o SBE (4/19/81)
u/w/o SBE Appointment
u/i/o RBG (11/27/31)*
f/b/o:

    Descendants of JLE

 

 

 

 

 

 

 

7,458

 

.15

 

 

 

 

 

 

 

 

 

 

 

 

 

66.

 

JLE, EMC, Jr. and Roger Bloom (“RB”)
Trustees
u/a/o SBE (4/19/81)
u/w/o SBE Appointment
u/i/o RGB (11/27/31)*
f/b/o:

    Descendants of CSF

 

 

 

 

 

 

 

2,000

 

.04

 

 

 

 

 

 

 

 

 

 

 

 

 

67.

 

Matthew L. Ernst

 

284 Jefferson  Avenue
Brooklyn, N.Y. 11216

 

Screenwriter

 

 

 

1,250

 

.02

 

 

 

 

 

 

 

 

 

 

 

 

 

68.

 

JLE, CSF
and Benjamin C. Stewart (“BCS”)
Trustees
u/c/o/w Richard C. Ernst, (6/19/84)*
f/b/o:

    Benjamin C. Stewart

 

 

 

 

 

 

 

5,996

 

.12

 

40



 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or 

 

 

 

 

 

 

 

 

 

 

employment

 

 

 

 

 

 

 

 

 

 

and the name, principal

 

Number of 

 

Total number of

 

 

 

 

 

 

business and address of 

 

shares

 

shares of the

 

 

 

 

 

 

any

 

of Issuer’s

 

Issuer’s

 

 

 

 

 

 

corporation or other

 

Common Stock

 

Common

 

 

(1)

 

(2)

 

organization in which 

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

69.

 

Jessica P. Kerns (“JPK”)

 

 241 Fifth Ave

Unit #3B

New York, N.Y.

10016

 

Medical Doctor

 

 

 

1,250

 

.02

 

 

 

 

 

 

 

 

 

 

 

 

 

70.

 

Charitable Trust created by Justus Heijmans,*
SRC and EMC, Jr.,
Trustees

 

 

 

 

 

(200

)

0

 

0

 

 

 

 

 

 

 

 

 

 

 

 

 

71.

 

JLE, MPE and AE,
Trustees
u/i/o RGB (12/21/50)*
f/b/o:
    JLE

 

 

 

 

 

 

 

1,100

 

.02

 

 

 

 

 

 

 

 

 

 

 

 

 

72.

 

JLE, as Guardian
f/b/o:
    DPE

 

 

 

 

 

 

 

2,679

 

.05

 

 

 

 

 

 

 

 

 

 

 

 

 

73.

 

JLE, RB, JPK,
CSF and AE, Trustees
u/c/w/o RGB (2/29/56)*
f/b/o:

    Descendants of JLE

 

 

 

 

 

 

 

4,746

 

.09

 

 

 

 

 

 

 

 

 

 

 

 

 

74.

 

Chase Bank
and LBC Trustees
u/i/o RGB (11/27/31)*
f/b/o:
    LBC

 

 

 

 

 

(30,000

)

0

 

0

 

 

 

 

 

 

 

 

 

 

 

 

 

75.

 

Louise B. & Edgar M. Cullman Foundation, Inc.*
SRC, President| Chairman of the Board
EMC, Jr., Treasurer
LCD, Secretary

 

Charitable
Foundation

 

 

 

 

 

105,740

 

2.11

 

 

 

 

 

 

 

 

 

 

 

 

 

76.

 

Edgar M. Cullman, III
    (EMC,III)

 

 27 Great Jones St.

Apt 3W

New York, N.Y.

10012

 

Producer

 

(7,535

)

11,259

 

.23

 

41



 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

(2)

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15//2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

77.

 

Samuel B. Cullman

 

304 Union Street

Brooklyn, N.Y.

11231

 

Film Director

 

 

 

13,594

 

.27

 

 

 

 

 

 

 

 

 

 

 

 

 

78.

 

FMD and RMD
Trustees
u/w/o Elsie B. Paskus*
f/b/o
     FMD Family

 

 

 

 

 

500

 

30,500

 

.61

 

 

 

 

 

 

 

 

 

 

 

 

 

79.

 

MSG
f/b/o
Andrew Gamzon
a minor (“AG”)

 

 

 

 

 

 

 

17,251

 

.34

 

 

 

 

 

 

 

 

 

 

 

 

 

80.

 

MSG
f/b/o
Sarah Gamzon
a minor (“SG”)

 

 

 

 

 

 

 

13,905

 

.28

 

42



 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

(2)

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

81.

 

David M. Danziger
f/b/o Sunaina Danziger
a minor (“SLD”)

 

 

 

 

 

2,790

 

14,274

 

.29

 

 

 

 

 

 

 

 

 

 

 

 

.29

82.

 

David M. Danziger
f/b/o Sameena Danziger
a minor (“SJD”)

 

 

 

 

 

2,790

 

14,274

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

83.

 

Matthew Ernst
f/b/o Jonah Ernst
a minor

 

 

 

 

 

 

 

200

 

.004

 

 

 

 

 

 

 

 

 

 

 

 

 

84.

 

Matthew Ernst
f/b/o Odessa Ernst
a minor

 

 

 

 

 

 

 

200

 

.004

 

 

 

 

 

 

 

 

 

 

 

 

 

85.

 

Georgina Cullman (“GDC”)

 

410 W. 24th St.

Apt. 19a

New York, N.Y.

10011

 

Environmental Curator

 

 

 

9,550

 

.19

 

 

 

 

 

 

 

 

 

 

 

 

 

86.

 

SJD 2011

Trust
dtd 2/9/2011, FMD as donor DMD, RDG and Sheena Danziger Trustees

 

 

 

 

 

10,000

 

25,000

 

.50

 

 

 

 

 

 

 

 

 

 

 

 

 

87.

 

SLD 2011

Trust
dtd 2/9/2011, FMD as donor DMD, RDG and Sheena Danziger Trustees

 

 

 

 

 

10,000

 

25,000

 

.50

 

 

 

 

 

 

 

 

 

 

 

 

 

88.

 

AG, 2011

Trust
dtd 2/9/2011, FMD as donor DMD, RDG and MSG Trustees

 

 

 

 

 

10,000

 

25,000

 

.50

 

 

 

 

 

 

 

 

 

 

 

 

 

89.

 

SG, 2011

Trust
dtd 2/9/11, FMD as donor DMD, RDG and MSG Trustees

 

 

 

 

 

10,000

 

25,000

 

.50

 

43



 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

 

 

 

 

 

 

 

 

 

and the name, principal

 

Number of 

 

Total number of

 

 

 

 

 

 

business and address of 

 

shares

 

shares of the

 

 

 

 

 

 

any

 

of Issuer’s

 

Issuer’s

 

 

 

 

 

 

corporation or other

 

Common Stock

 

Common

 

 

(1)

 

(2)

 

organization in which 

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

90.

 

LCD, EMC, Jr. and SRC
Executors
Estate of LBC*

 

 

 

 

 

39,548

 

39,548

 

.79

 

 

 

 

 

 

 

 

 

 

 

 

 

91.

 

Michael S. Gamzon (“MSG”)

 

Griffin Industrial Realty, Inc.

President, Chief Executive Officer and Director

641 Lexington Avenue

26th floor

New York, NY

 

 

 

5,000

 

5,000

 

.10

 

 

 

 

 

 

 

 

 

 

 

 

 

92.

 

DMD and GDC
Trustees
u/i/o EMC, Jr. 12/3/12*
f/b/o:GDC

 

 

 

 

 

20,000

 

20,000

 

.40

 

 

 

 

 

 

 

 

 

 

 

 

 

93.

 

LCD, SRC and EMC, Jr.

Trustees

u/w/o Joseph R. Cullman, Jr.*

f/b/o LCD

 

 

 

 

 

33,484

 

33,484

 

.67

 

 

 

 

 

 

 

 

 

 

 

 

 

94.

 

LCD, SRC and EMC, Jr.
Trustees
u/w/o/Joseph R. Cullman, Jr.* ,f/b/o EMC, Jr.

 

 

 

 

 

25,482

 

25,482

 

.51

 

44



 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

 

 

 

 

 

 

 

 

 

and the name, principal

 

Number of 

 

Total number of

 

 

 

 

 

 

business and address of 

 

shares

 

shares of the

 

 

 

 

 

 

any

 

of Issuer’s

 

Issuer’s

 

 

 

 

 

 

corporation or other

 

Common Stock

 

Common

 

 

(1)

 

(2)

 

organization in which 

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

95.

 

LCD, SRC and EMC, Jr.
Trustees

u/w/o Joseph R. Cullman, Jr.*

f/b/o SRC

 

 

 

 

 

25,482

 

25,482

 

.51

 

 

 

 

 

 

 

 

 

 

 

 

 

96.

 

FMD, LCD, DMD and RDG
Trustees under Article 7
th of Will of LBC*

f/b/o LCD, DMD and Descendants

 

 

 

 

 

8,265

 

8,265

 

.17

 

 

 

 

 

 

 

 

 

 

 

 

 

97.

 

FMD, LCD, DMD and RDG
Trustees under Article 7th  of Will of LBC*

f/b/o LCD, RDG and Descendants

 

 

 

 

 

8,266

 

8,266

 

.17

 

 

 

 

 

 

 

 

 

 

 

 

 

98.

 

EMC, Jr., EFC, EMC III SBC and GDC

Trustees under Article 7th of Will of LBC*

f/b/o EMC, Jr. and EMC III and Descendants

 

 

 

 

 

3,323

 

3,323

 

.07

 

 

 

 

 

 

 

 

 

 

 

 

 

99.

 

EMC, Jr., EFC, EMC III SBC and GDC
Trustees under Article 7
th of Will of LBC*
f/b/o EMC, Jr. , SBC and Descendants,

 

 

 

 

 

3,323

 

3,323

 

.07

 

45



 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

 

 

 

 

 

 

 

 

 

and the name, principal

 

Number of 

 

Total number of

 

 

 

 

 

 

business and address of 

 

shares

 

shares of the

 

 

 

 

 

 

any

 

of Issuer’s

 

Issuer’s

 

 

 

 

 

 

corporation or other

 

Common Stock

 

Common

 

 

(1)

 

(2)

 

organization in which 

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

2/15/2012

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

100..

 

EMC, Jr., EFC, EMC III SBC and GDC Trustees under Article 7th of Will of LBC*
f/b/o EMC, Jr., GDC and Descendants

 

 

 

 

 

3,323

 

3,323

 

.07

 

 

 

 

 

 

 

 

 

 

 

 

 

101.

 

SRC, CBS and JJK

Trustees under Article 7th*

f/b/o SRC

 

 

 

 

 

9,969

 

9,969

 

.20

 

 

 

 

 

 

 

 

 

 

 

 

 

102.

 

John J. Kirby

 

88 Saddle Rock Road

Stamford, CT 06902

 

Retired Attorney

 

1,000

 

1,000

 

.02

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(70,743

)

2,326,709

 

46.53

 


* Unless otherwise indicated, the address of each person, trust or charitable foundation is 641 Lexington Avenue, New York, NY 10022.

 

46


EX-1 2 a17-8123_1ex1.htm EX-1

 

EXHIBIT 1

JOINT FILING AGREEMENT

In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, each of the persons whose signature appears below agrees to the joint filing on behalf of each of them of a Statement on Schedule 13D (including amendments thereto) with respect to (a) the common stock, par value $0.01 per share, of Griffin Industrial Realty, Inc., a Delaware corporation (the “Griffin 13D”), and further agrees that this Joint Filing Agreement be included as an exhibit to such filings provided that, as contemplated by Section 13d-1(f)(l)(ii), no person shall be responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate. This Agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument.

In addition, each of the persons whose signature appears below constitutes and appoints Frederick M. Danziger as true and lawful attorney-in-fact and agent with full power of substitution and resubstitution for him or her and in his or her name, place and stead, in any and all capacities to sign the Griffin 13D and any and all amendments to the Griffin 13D, and to file the same with all exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as full to all intents and

 

1



 

purposes as he might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent, or his substitute or substitutes, may lawfully do or cause to be done by virtue thereof.

 

4/27/2017

 

/s/ SUSAN R. CULLMAN

 

 

Susan R. Cullman, individually, as Trustee of the Trusts of which she is a Trustee as indicated on Insert 1 hereto and as Executor for Estate of Louise B. Cullman

 

 

 

 

 

/s/ EDGAR M. CULLMAN, JR.

 

 

Edgar M. Cullman, Jr., individually, as Trustee of the Trusts of which he is a Trustee as indicated on Insert 1 hereto and as Executor for Estate of Louise B. Cullman

 

 

 

 

 

/s/ LUCY C. DANZIGER

 

 

Lucy C. Danziger, individually and as Trustee of the Trusts of which she is a Trustee as indicated on Insert 1 hereto and as Executor for Estate of Louise B. Cullman

 

 

 

 

 

/s/ JOHN L. ERNST

 

 

John L. Ernst, individually and as Trustee of the Trusts of which he is a Trustee, as Guardian, all as indicated on Insert 1 hereto

 

 

 

 

 

/s/ CAROLYN S. FABRICI

 

 

Carolyn S. Fabrici, individually and as Trustee of the Trusts of which she is a Trustee as indicated on Insert 1 hereto

 

2



 

/s/ FREDERICK M. DANZIGER

 

Frederick M. Danziger, individually and as Trustee of the Trusts of which he is a Trustee as indicated on Insert 1 hereto

 

/s/ ELISSA F. CULLMAN

 

Elissa F. Cullman, individually and as Trustee of the Trusts of which she is a Trustee as indicated on Insert 1 hereto

 

/s/ REBECCA D. GAMZON

 

Rebecca D. Gamzon, individually formerly Rebecca B. Danziger and as custodian for minor children Andrew B. Gamzon & Sarah D. Gamzon and as Trustee of the Trusts of which she is a Trustee as indicated on Insert 1 hereto

 

/s/ MATTHEW L. ERNST

 

Matthew L. Ernst, individually and as custodian for his minor children Odessa Ernst and Jonah Ernst and as Trustee of the Trusts of which he is a Trustee as indicated on Insert 1 hereto

 

B. BROS. REALTY LLC

 

By /s/ JOHN L. ERNST

 

John L. Ernst,

 

Co Managing Member

 

 

By /s/ SUSAN R. CULLMAN

 

Susan R. Cullman

 

Co Managing Member

 

/s/ MARGOT P. ERNST

 

Margot P. Ernst, not individually but as Trustee of the Trusts of which she is a Trustee as indicated on Insert 1 hereto

 

/s/ ALEXANDRA ERNST

 

Alexandra Ernst, individually and as Trustee of the Trusts of which she is a Trustee as indicated on Insert 1 hereto, and as custodian for her minor children Cooper Siegel and Shepard Siegel

 

/s/ DAVID M. DANZIGER

 

David M. Danziger, individually and as custodian for his minor children Sunaina L Danziger & Sameena Danziger and as Trustee of the Trusts of which he is a Trustee as indicated on Insert 1 hereto

 

3



 

/s/ EDGAR M. CULLMAN III

 

Edgar M. Cullman III, individually and as Trustee of the Trusts of which he is a Trustee as indicated on Insert 1 hereto

 

/s/ CAROLYN B. SICHER

 

Carolyn B. Sicher, individually and as Trustee of the Trusts of which she is a Trustee as indicated on Insert 1 hereto

 

 

 

/s/ SAMUEL CULLMAN

 

Samuel B Cullman, individually and as Trustee of the Trusts of which he is a Trustee as indicated on Insert 1 hereto

 

 

 

/s/ JESSICA P. KERNS

 

Jessica P. Kerns also known as
Jessica P. Ernst, individually and as Trustee of the Trusts of which she is a Trustee as indicated on Insert 1 hereto

 

 

 

/s/ GEORGINA CULLMAN

 

GEORGINA Cullman, individually and as Trustee of the Trusts of which she is a Trustee as indicated on Insert 1 hereto

 

 

 

/s/ MICHAEL GAMZON

 

Michael Gamzon

 

 

 

/s/ SHEENA DANZIGER

 

Sheena Danziger

 

 

 

/s/ JOHN J. KIRBY

 

John J. Kirby, individually and as Trustee of the Trusts of which he is a Trustee as indicated on Insert 1 hereto

 

 

 

/s/ RICHARD M. DANZIGER

 

Richard M. Danziger, individually and as Trustee of the Trusts of which he is a Trustee as indicated on Insert 1 hereto

 

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