0000002178-14-000038.txt : 20140418 0000002178-14-000038.hdr.sgml : 20140418 20140417174523 ACCESSION NUMBER: 0000002178-14-000038 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20140418 DATE AS OF CHANGE: 20140417 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADAMS RESOURCES & ENERGY, INC. CENTRAL INDEX KEY: 0000002178 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-PETROLEUM & PETROLEUM PRODUCTS (NO BULK STATIONS) [5172] IRS NUMBER: 741753147 STATE OF INCORPORATION: DE FISCAL YEAR END: 0926 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-13891 FILM NUMBER: 14770931 BUSINESS ADDRESS: STREET 1: 17 S. BRIAR HOLLOW LN. CITY: HOUSTON STATE: TX ZIP: 77027 BUSINESS PHONE: 7138813600 MAIL ADDRESS: STREET 1: P O BOX 844 CITY: HOUSTON STATE: TX ZIP: 77001 FORMER COMPANY: FORMER CONFORMED NAME: ADAMS RESOURCES & ENERGY INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: ADA RESOURCES INC DATE OF NAME CHANGE: 19790620 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Estate of Kenneth Stanley Adams, Jr. CENTRAL INDEX KEY: 0001605613 IRS NUMBER: 464008246 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 17 SOUTH BRIAR HOLLOW LANE, SUITE 400 CITY: HOUSTON STATE: TX ZIP: 77027 BUSINESS PHONE: 713-881-3600 MAIL ADDRESS: STREET 1: 17 SOUTH BRIAR HOLLOW LANE, SUITE 400 CITY: HOUSTON STATE: TX ZIP: 77027 SC 13G 1 schedule13g.htm SCHEDULE 13G AMENDMENT 1 ESTATE schedule13g.htm

 
UNITED STATES
 
 
SECURITIES AND EXCHANGE COMMISSION
 
 
Washington, D.C. 20549
 
 
SCHEDULE 13G
 
 
Under the Securities Exchange Act of 1934
 
 
(Amendment No. ________)*
 
Adams Resources & Energy, Inc.
(Name of Issuer)
 
Common Stock
(Title of Class of Securities)
 
006351308
(CUSIP Number)
 
April 17, 2014
(Date of Event which Requires Filing of this Statement)
 
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
 
¨  Rule 13d-1(b)
 
 
x  Rule 13d-1(c)
 
 
¨  Rule 13d-1(d)
 
 
* 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. 006351308
 
13G
 
Page 2 of 5 Pages
         

         
1.
 
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
The Estate of Kenneth Stanley Adams, Jr.
   
2.
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)    ¨
(b)    ¨
   
3.
 
SEC USE ONLY
 
   
4.
 
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Texas
   

         
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
 
5.
 
SOLE VOTING POWER
 
332,653
 
6.
 
SHARED VOTING POWER
 
 
 
7.
 
SOLE DISPOSITIVE POWER
 
332,653
 
8.
 
SHARED DISPOSITIVE POWER
 
 

         
9.
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
332,653
   
10.
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions)    ¨
   
11.
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
7.77%
   
12.
 
TYPE OF REPORTING PERSON (see instructions)
 
OO
   
         

 
 

 

 
 
 

         
CUSIP No. 006351308
 
13G
 
Page 3 of 5 Pages
         
 
Item 1.
 
 
(a)
Name of Issuer
Adams Resources & Energy, Inc.
     
 
(b)
Address of Issuer’s Principal Executive Offices
17 South Briar Hollow Lane, Suite 100, Houston, Texas 77027
     
 
Item 2.
 
 
(a)
Name of Person Filing
The Estate of Kenneth Stanley Adams, Jr.
     
 
(b)
Address of the Principal Office or, if none, residence
17 South Briar Hollow Lane, Suite 100, Houston, Texas 77027
     
 
(c)
Citizenship
Texas
     
 
(d)
Title of Class of Securities
Common Stock, $.10 Par Value
     
 
(e)
CUSIP Number
006351308
     
 
Item 3.  If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
 
 
(a)
¨
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
       
 
(b)
¨
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
       
 
(c)
¨
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
       
 
(d)
¨
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
       
 
(e)
¨
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
       
 
(f)
¨
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
       
 
(g)
¨
A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
       
 
(h)
¨
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
       
 
(i)
¨
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
       
 
(j)
¨
Group, in accordance with §240.13d-1(b)(1)(ii)(J).
       
 
Item 4.  Ownership.
 
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
 

 
 

 

 

 
 

 
 
Page 4 of 5 Pages
 
         
 
(a)
 
Amount beneficially owned:  332,653
         
 
(b)
 
Percent of class:  7.77%
         
 
(c)
 
Number of shares as to which the person has:  
         
     
(i)
Sole power to vote or to direct the vote  332,653.
         
     
(ii)
Shared power to vote or to direct the vote  0
         
     
(iii)
Sole power to dispose or to direct the disposition of  332,653
         
     
(iv)
Shared power to dispose or to direct the disposition of  0
         
 
Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).
 
 
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     ¨.
 
 
Instruction. Dissolution of a group requires a response to this item.
 
 
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.
 
         
     
The following certification shall be included if the statement is filed pursuant to §240.13d-1(c):
         
     
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 
     
 
Item 11.  Material to be filed as Exhibit
 Exhibit 99.1  - Power of Attorney regarding filings under the Act
 
 

 
 

 

 
 
 

         
CUSIP No. 006351308
 
13G
 
Page 5 of 5 Pages
         
 
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.
 
 
 
April 17, 2014
Date
 
 
/s/ Richard B. Abshire
Signature
 
 
Richard B. Abshire, Attorney-in-Fact
Name/Title
 
This Schedule 13G was executed by Richard B. Abshire on behalf of the individuals listed above pursuant to a Power of Attorney a copy of which is attached as Exhibit 99.1



 

EX-99.1 CHARTER 2 exhibit99-1.htm EXHIBIT 99.1 SCHEDULE 13G AMENDMENT ESTATE exhibit99-1.htm

 
EXHIBIT 99.1
 
 

 
 
POWER OF ATTORNEY
 
 
Know all by these present, that the each of the undersigned  hereby constitutes and appoints Richard B. Abshire, with full power of substitution, each of the undersigned's true and lawful attorney-in-fact to:
 
 
(1) prepare, execute in each of the undersigned’s name and on each of the undersigned’s behalf, and submit to the U.S. Securities and Exchange Commission (the “SEC”) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling each of the undersigned to make electronic filings with the SEC of reports required by Section 16(a) or Section 13 of the Securities Exchange Act of 1934, as Amended (the “Exchange Act”) or any rule or regulation of the SEC;
 
 
(2) execute for and on behalf of each of the undersigned, in any and all capacities of each of the undersigned for the filing of Forms 3, 4, and 5 in accordance with Section 16(a) of the Exchange Act and the rules thereunder and Schedules 13D or 13G as may be required in accordance with Section 13 of the Exchange Act and the rules thereunder;
 
 
(3) do and perform any and all acts for and on behalf of each of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5 or such Schedules 13D or 13G, complete and execute any amendment or amendments thereto, and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and
 
 
(4) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, each of the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of each of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.
 
 
Each of the undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as each of the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. Each of the undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of each of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16  and Section 13 of the Securities Exchange Act of 1934.
 
 
This Power of Attorney shall remain in full force and effect until each of the undersigned is no longer required to file Forms 3, 4, and 5 or Schedules 13D or 13G with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorney-in-fact.  This Power of Attorney supersedes all previous Powers of Attorney relating to the subject matter hereof.
 
 

 

 
 

 

 

 
 
IN WITNESS WHEREOF, each of the undersigned has caused this Power of Attorney to be executed as of this 10th day of April, 2014.
 
 

 
/s/ Susan Adams Smith, Executor of the Estate of Kenneth Stanley Adams, Jr. 
Susan Adams Smith, Executor of the Estate of Kenneth Stanley Adams, Jr.


/s/ Amy Adams Strunk, Executor of the Estate of Kenneth Stanley Adams, Jr. 
Amy Adams Strunk, Executor of the Estate of Kenneth Stanley Adams, Jr.


/s/ Kenneth Stanley Adams, IV, Executor of the Estate of Kenneth Stanley Adams, Jr. 
Kenneth Stanley Adams, IV, Executor of the Estate of Kenneth Stanley Adams, Jr.