-----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, BIuXvTzgaDLmWJHyETEhUjo9vp5tlcnSkEAftGuvqscl0yHj6YQUONz53+yzDh2M /ycv4YoX0gaXWypp5p5sNw== 0000906344-02-000004.txt : 20020414 0000906344-02-000004.hdr.sgml : 20020414 ACCESSION NUMBER: 0000906344-02-000004 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020131 GROUP MEMBERS: EDITH H. BERGSTROM GROUP MEMBERS: EDITH H. BERGSTROM LIVING TRUST U/A DATED 12/6/74 GROUP MEMBERS: ERIK E. AND EDITH H. BERGSTROM FOUNDATION, INC. GROUP MEMBERS: ERIK E. BERGSTROM LIVING TRUST U/A DATED 12/6/74 GROUP MEMBERS: FEDERAL UNITED CORPORATION GROUP MEMBERS: SHARON'S TRUST SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADAMS EXPRESS CO CENTRAL INDEX KEY: 0000002230 IRS NUMBER: 134912740 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-51101 FILM NUMBER: 02524115 BUSINESS ADDRESS: STREET 1: SEVEN ST PAUL ST STE 1140 CITY: BALTIMORE STATE: MD ZIP: 21202 BUSINESS PHONE: 4107525900 MAIL ADDRESS: STREET 1: 7 ST PAUL STREET SUITE 1140 CITY: BALTIMORE STATE: MD ZIP: 21202 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERGSTROM ERIK E CENTRAL INDEX KEY: 0000949041 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: P O BOX 126 CITY: PALO ALTO STATE: CA ZIP: 94302 BUSINESS PHONE: 4153230596 MAIL ADDRESS: STREET 1: P O BOX 126 CITY: PALO ALTO STATE: CA ZIP: 94302 SC 13G/A 1 berg13g.txt AMENDMENT NO. 3 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) THE ADAMS EXPRESS COMPANY ------------------------- (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 006212104 --------- (CUSIP Number) December 31, 2001 ----------------- (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 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 the Notes). CUSIP No. 006212104 SCHEDULE 13G Page 2 of 14 1 Name of Reporting Person Erik E. Bergstrom IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization USA NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY 6 Shared Voting Power 5,908,800 OWNED BY EACH REPORTING 7 Sole Dispositive Power 0 PERSON WITH 8 Shared Dispositive Power 5,908,800 9 Aggregate Amount Beneficially Owned by Each Reporting Person 5,908,800 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [x]* 11 Percent of Class Represented by Amount in Row 9 6.9% 12 Type of Reporting Person IN *See response to Item 4. CUSIP No. 006212104 SCHEDULE 13G Page 3 of 14 1 Name of Reporting Person Erik E. Bergstrom Living Trust U/A Dated 12/6/74 IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization California NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY 6 Shared Voting Power 1,530,000 OWNED BY EACH REPORTING 7 Sole Dispositive Power 0 PERSON WITH 8 Shared Dispositive Power 1,530,000 9 Aggregate Amount Beneficially Owned by Each Reporting Person 1,530,000 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 1.8% 12 Type of Reporting Person OO CUSIP No. 006212104 SCHEDULE 13G Page 4 of 14 1 Name of Reporting Person Edith H. Bergstrom IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization USA NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY 6 Shared Voting Power 20,000 OWNED BY EACH REPORTING 7 Sole Dispositive Power 0 PERSON WITH 8 Shared Dispositive Power 20,000 9 Aggregate Amount Beneficially Owned by Each Reporting Person 20,000 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 0.0% 12 Type of Reporting Person IN CUSIP No. 006212104 SCHEDULE 13G Page 5 of 14 1 Name of Reporting Person Edith H. Bergstrom Living Trust U/A Dated 12/6/74 IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization California NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY 6 Shared Voting Power 20,000 OWNED BY EACH REPORTING 7 Sole Dispositive Power 0 PERSON WITH 8 Shared Dispositive Power 20,000 9 Aggregate Amount Beneficially Owned by Each Reporting Person 20,000 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 0.0% 12 Type of Reporting Person OO CUSIP No. 006212104 SCHEDULE 13G Page 6 of 14 1 Name of Reporting Person Federal United Corporation IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization Delaware NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY 6 Shared Voting Power 250,000 OWNED BY EACH REPORTING 7 Sole Dispositive Power 0 PERSON WITH 8 Shared Dispositive Power 250,000 9 Aggregate Amount Beneficially Owned by Each Reporting Person 250,000 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 0.3% 12 Type of Reporting Person CO CUSIP No. 006212104 SCHEDULE 13G Page 7 of 14 1 Name of Reporting Person Erik E. and Edith H. Bergstrom Foundation, Inc. IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization California NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY 6 Shared Voting Power 4,073,800 OWNED BY EACH REPORTING 7 Sole Dispositive Power 0 PERSON WITH 8 Shared Dispositive Power 4,073,800 9 Aggregate Amount Beneficially Owned by Each Reporting Person 4,073,800 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 4.8% 12 Type of Reporting Person CO CUSIP No. 006212104 SCHEDULE 13G Page 8 of 14 1 Name of Reporting Person Sharon's Trust IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship or Place of Organization California NUMBER OF 5 Sole Voting Power 0 SHARES BENEFICIALLY 6 Shared Voting Power 55,000 OWNED BY EACH REPORTING 7 Sole Dispositive Power 0 PERSON WITH 8 Shared Dispositive Power 55,000 9 Aggregate Amount Beneficially Owned by Each Reporting Person 55,000 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] 11 Percent of Class Represented by Amount in Row 9 0.1% 12 Type of Reporting Person OO CUSIP No. 006212104 SCHEDULE 13G Page 9 of 14 Item 1(a). Name of Issuer: The Adams Express Company Item 1(b). Address of Issuer's Principal Executive Offices: Seven St. Paul Street, Suite 1140, Baltimore, Maryland 21202 Item 2(a). Names of Persons Filing: Erik E. Bergstrom Erik E. Bergstrom Living Trust U/A Dated 12/6/74 Edith H. Bergstrom Edith H. Bergstrom Living Trust U/A Dated 12/6/74 Federal United Corporation Erik E. and Edith H. Bergstrom Foundation, Inc. Sharon's Trust Item 2(b). Address of Principal Business Office or, if none, Residence: The business address of Erik E. Bergstrom, Erik E. Bergstrom Living Trust U/A Dated 12/6/74, Edith H. Bergstrom, Edith H. Bergstrom Living Trust U/A Dated 12/6/74, and Federal United Corporation is P.O. Box 126, Palo Alto, California 94302. The business address of the Erik E. and Edith H. Bergstrom Foundation, Inc. is P.O. Box 520, Palo Alto, California 94302. The business address of Sharon's Trust is 13781 Strubel's Lane, Grass Valley, California 95949. Item 2(c). Citizenship: See Item(s) 4 to cover page. Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 006212104 CUSIP No. 006212104 SCHEDULE 13G Page 10 of 14 Item 3. If this statement is filed pursuant to Sections 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 Section 240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Section 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 Section 240.13d- 1(b)(1)(ii)(J). If this statement is filed pursuant to Section 240.13d-1(c), check this box. [x] Item 4. Ownership. The following table specifies as of January 19, 2002 the number of shares of Common Stock as to which each person named in Item 2(a) has sole or shared power to vote or direct the vote or to dispose or direct the disposition, as well as the percentages such shares constitute of the Common Stock reported to be outstanding as of December 31, 2001. CUSIP No. 006212104 SCHEDULE 13G Page 11 of 14
Sole Shared Percentage Voting and Voting and Aggregate of Dispositive Dispositive Number of Outstanding Name Power Power Shares Shares - ---- ----------- ----------- --------- ----------- Erik E. 0 5,908,800 5,908,800 6.9% Bergstrom Erik E. 0 1,530,000 1,530,000 1.8% Bergstrom Living Trust U/A Dated 12/6/74 Edith H. 0 20,000 20,000 0.0% Bergstrom Edith H. 0 20,000 20,000 0.0% Bergstrom Living Trust U/A Dated 12/6/74 Federal United 0 250,000 250,000 0.3% Corporation Erik E. and 0 4,073,800 4,073,800 4.8% Edith H. Bergstrom Foundation, Inc. Sharon's Trust 0 55,000 55,000 0.1% The reporting persons may be deemed to be members of a "group" within the meaning of Section 13(d)(3) of the Act and the rules and regulations thereunder. Membership in such a group is hereby disclaimed. Consists of shares of Common Stock owned by the Erik E. Bergstrom Living Trust U/A Dated 12/6/74, Federal United Corporation, Erik E. and Edith H. Bergstrom Foundation, Inc. and Sharon's Trust. Does not include the shares owned by Edith H. Bergstrom and the Edith H. Bergstrom Living Trust U/A Dated 12/6/74. Pursuant to Rule 13d-4, Erik E. Bergstrom hereby disclaims beneficial ownership of all shares owned by Edith H. Bergstrom, the Edith H. Bergstrom Living Trust U/A Dated 12/6/74, Erik E. and Edith H. Bergstrom Foundation, Inc. and Sharon's Trust. Consists of 20,000 shares of Common Stock owned by the Edith H. Bergstrom Living Trust U/A Dated 12/6/74.
CUSIP No. 006212104 SCHEDULE 13G Page 12 of 14 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. Not applicable. Item 8. Identification and Classification of Members of the Group. See Exhibit 1. Item 9. Notice of Dissolution of Group. Not applicable. Item 10. Certifications. By signing below, each of the signatories certifies that, to the best of its 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. /s/ Erik E. Bergstrom Edith H. Bergstrom Living Trust ____________________________ U/A Dated 12/6/74 Erik E. Bergstrom By: /s/ Edith H. Bergstrom /s/ Edith H. Bergstrom __________________________ ____________________________ Name: Edith H. Bergstrom Edith H. Bergstrom Title: Trustee Erik E. and Edith H. Bergstrom Federal United Corporation Foundation, Inc. By: /s/ Erik E. Bergstrom By: /s/ Erik E. Bergstrom _______________________ __________________________ Name: Erik E. Bergstrom Name: Erik E. Bergstrom Title: President Title: President CUSIP No. 006212104 SCHEDULE 13G Page 13 of 14 Erik E. Bergstrom Living Trust Sharon's Trust U/A Dated 12/6/74 By: /s/ Erik E. Bergstrom By: /s/ Erik E. Bergstrom ________________________ __________________________ Name: Erik E. Bergstrom Name: Erik E. Bergstrom Title: Trustee Title: Trustee Dated: January 28, 2002 CUSIP No. 006212104 SCHEDULE 13G Page 14 of 14 Exhibit 1 - Identity of Group Members Erik E. Bergstrom Erik E. Bergstrom Living Trust U/A Dated 12/6/74 Edith H. Bergstrom Edith H. Bergstrom Living Trust U/A Dated 12/6/74 Federal United Corporation Erik E. and Edith H. Bergstrom Foundation, Inc. Sharon's Trust -----END PRIVACY-ENHANCED MESSAGE-----