10-K405/A 1 a2047409z10-k405a.htm 10-K405/A Prepared by MERRILL CORPORATION
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


FORM 10-K/A

/x/   ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the fiscal year ended January 31, 2001

/ /

 

TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the Transition Period From                to               

Commission file number 1-12557

CASCADE CORPORATION
(Exact name of registrant as specified in its charter)

Oregon
(State or other jurisdiction of
incorporation or organization)
  93-0136592
(I.R.S. Employer
Identification No.)

2201 N.E. 201st Ave. Fairview, Oregon 97024-9718
(Address of principal executive office) (Zip Code)

Registrant's telephone number, including area code: 503-669-6300

Securities registered pursuant to Section 12(b) of the Act:
Common Stock, par value $.50 per share

Name of exchange on which registered: New York Stock Exchange

Securities registered pursuant to Section 12(g) of the Act: None


    Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes /x/  No / /

    Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of the registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. /x/

    The aggregate market value of common stock held by non-affiliates of the registrant as of March 31, 2001 was $146,087,395.

    The number of shares outstanding of the registrant's common stock as of March 31, 2001 was 11,439,890.

DOCUMENTS INCORPORATED BY REFERENCE

    Portions of the definitive Proxy Statement to be filed on or before May 23, 2001, to be delivered to shareholders in connection with the Annual Meeting of Shareholders to be held June 14, 2001 are incorporated by reference into Part III.





PART IV

Item 14.  Exhibits, Financial Statement Schedules, and Reports on Form 8-K

    Exhibits

        1.  Severance Agreement dated May 25, 2000, with Robert C. Warren, Jr.

        2.  Severance Agreement dated May 25, 2000, with Terry H. Cathey

        3.  Severance Agreement dated May 25, 2000, with Richard S. Anderson

        4.  Severance Agreement dated May 25, 2000, with Kurt G. Wollenberg




SIGNATURES

    Pursuant to the requirements of Section 13 and 15(d) of the Securities Exchange Act of 1934, the registrant, CASCADE CORPORATION has duly caused this annual report to be signed on its behalf by the undersigned thereunto duly authorized.

    CASCADE CORPORATION

 

 

By:

 

/s/ 
KURT G. WOLLENBERG   
Kurt G. Wollenberg
Senior Vice President—Finance and
Chief Financial Officer
(Principal Financial and Accounting Officer)

    Pursuant to the requirements of the Securities Exchange Act of 1934 this report has been signed below by the following persons on behalf of the registrant and in the capacities on the dates indicated.


 

 

 

 

 
      /s/ Robert C. Warren, Jr. April 30, 2001
     
      Robert C. Warren, Jr. Date
      President and Chief Executive Officer, Director  

 

 

 

/s/ Greg H. Kubicek

April 30, 2001
     
      Greg H. Kubicek, Director Date

 

 

 

/s/ Ernest C. Mercier

April 30, 2001
     
      Ernest C. Mercier, Director Date

 

 

 

/s/ Jack B. Schwartz

April 30, 2001
     
      Jack B. Schwartz, Date
      Assistant Secretary, Director  

 

 

 

/s/ Nancy Wilgenbusch

April 30, 2001
   
      Nancy Wilgenbusch, Director Date



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PART IV
SIGNATURES