SC 13D/A 1 doc1.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------ SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* AMCAST INDUSTRIAL CORPORATION ----------------------------------------------------- (NAME OF ISSUER) COMMON STOCK, NO PAR VALUE ----------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 023395 10 6 ----------------------------------------------------- (CUSIP NUMBER) ROBOTTI & COMPANY, INCORPORATED 52 VANDERBILT AVENUE, SUITE 503 NEW YORK, NY 10017 ----------------------------------------------------- (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) OCTOBER 9, 2002 ----------------------------------------------------- (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(E), 13D-1(F) OR 13D-1(G), CHECK THE FOLLOWING BOX. / / NOTE: SCHEDULES FILED IN PAPER FORMAT SHALL INCLUDE A SIGNED ORIGINAL AND FIVE COPIES OF THE SCHEDULE, INCLUDING ALL EXHIBITS. SEE RULE 13D-7(B) 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). (Continued on following pages) ------------------------------- ----------------------------------- CUSIP No. 023395 10 6 Page 2 of 8 Pages ------------------------------- ----------------------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Robert E. Robotti -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / / (b) /X/ -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) / / -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OR ORGANIZATION United States -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 0 BENEFICIALLY ------------------------------------------------------------- OWNED BY EACH REPORTING 8 SHARED VOTING POWER PERSON WITH 516,810 ------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 516,810 -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 516,810 -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / / -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.0% -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN ================================================================================ ------------------------------- ----------------------------------- CUSIP No. 023395 10 6 Page 3 of 8 Pages ------------------------------- ----------------------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Robotti & Company, Incorporated 11-2474002 -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / / (b) /X/ -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) / / -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OR ORGANIZATION New York -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 0 BENEFICIALLY ------------------------------------------------------------- OWNED BY EACH REPORTING 8 SHARED VOTING POWER PERSON WITH 330,860 ------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 330,860 -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 330,860 -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / / -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.8% -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO, BD, IA ================================================================================ ------------------------------- ----------------------------------- CUSIP No. 023395 10 6 Page 4 of 8 Pages ------------------------------- ----------------------------------- SCHEDULE 13D AMENDMENT NO. 2 This Schedule 13D Amendment No. 2, dated October 17, 2002 (this "Amendment No. 2"), is being filed on behalf of Robert E. Robotti ("Robotti") and Robotti & Company, Incorporated, a New York corporation ("ROBT"). The Initial Statement of Beneficial Ownership on Schedule 13D (the "Initial Statement") was filed on behalf of Mr. Robotti, ROBT, Ravenswood Management Company, L.L.C., a New York limited liability company ("RMC"), The Ravenswood Investment Company, L.P., a New York limited partnership ("RIC"), and Kenneth R. Wasiak ("Wasiak" together with Robotti, ROBT, RMC and RIC, the "Reporting Persons"). The Reporting Persons previously reported an aggregate amount of 443,610 shares of the common stock, no par value (the "Common Stock"), of Amcast Industrial Corporation (the "Issuer") in an Initial Statement filed on August 23, 2002 with the Securities Exchange Commission, as amended by Schedule 13D Amendment No. 1 (Amendment No. 1), which was filed on August 23, 2002 with the Securities Exchange Commission. Since the filing of Amendment No. 1, Mr. Robotti and ROBT have acquired an aggregate amount of 73,200 additional shares. The reported shares for RMC, RIC and Mr. Wasiak remains unchanged at 185,950 shares or 2.2% ownership. The cover page for the Reporting Persons is hereby amended to read as shown in this Amendment No. 2. Item 5 and Item 7 are hereby amended to read as shown in this Amendment No. 2. All other items remain unchanged. ITEM 5. INTEREST IN SECURITES OF THE ISSUER Item 5 is hereby amended as follows: (a) (i) As of October 17, 2002, Mr. Robotti shares beneficially ownership of 516,810 shares of the Security through the following: - his ownership of ROBT, a broker-dealer registered under Section 15 of the Securities Exchange Act of 1934 and an investment advisor in accordance with Rule 13d-1 (b)(1)(ii)(E), by virtue of the investment discretion ROBT has over the accounts of its brokerage customers and advisory clients, which hold an aggregate of 330,860 shares of the Security; and - his position as a managing member of RMC which serves as the general partner of RIC, which owns 185,950 shares of the Security, which remains unchanged since the Initial Statement (ii) The amount of shares of the Security beneficially owned by Mr. Robotti is 6.0% of the total outstanding shares of the Security. The percentage of beneficial ownership assumes that the number of outstanding shares is 8,619,460. In the Issuer's 10-Q Form, the number of outstanding shares reported by the Issuer as of June 2, 2002 is 8,619,460. (c) (i) Mr. Robotti does not have the sole power to vote or the direct the vote of any of the shares of the Security. (ii) Mr. Robotti shares the power to vote or direct the vote of the shares of the Security as follows: - he shares with ROBT the power to vote or direct the vote of 330,860 shares of the Security; and - he shares with the other managing member of RMC which serves as the general partner of RIC, Mr. Wasiak, the power to vote or direct the vote of 185,950 shares of the Security. (iii) Mr. Robotti does not have the sole power to dispose or to direct the disposition of any of the shares of the Security. ------------------------------- ----------------------------------- CUSIP No. 023395 10 6 Page 5 of 8 Pages ------------------------------- ----------------------------------- (iv) Mr. Robotti shares the power to dispose or to direct the disposition of the shares of the Security as follows: - he shares with ROBT the power to dispose or to direct the disposition of 330,860 shares of the Security; and - he shares with the other managing member of RMC which serves as the general partner of RIC, Mr. Wasiak, the power to dispose or to direct the disposition of 185,950 shares of the Security. (d) The table below lists all transactions in the Issuer's Common Stock in the last sixty days by the Reporting Persons. All such transactions were made by ROBT in the open market. Transactions in Shares Within the Past Sixty Days Shares of Common Price Per Date of Stock Purchased/Sale Share Purchase/Sale -------------------- ---------- ------------- 3,000 $ 3.530 08/15/2002 8,200 $ 3.483 08/19/2002 7,500 $ 3.433 08/22/2002 400 $ 3.405 08/23/2002 1,000 $ 3.48 08/26/2002 600 $ 3.457 08/28/2002 19,300 $ 3.412 08/29/2002 10,200 $ 3.23 08/30/2002 6,200 $ 3.148 09/03/2002 900 $ 3.15 09/06/2002 2,000 $ 3.35 09/13/2002 9,000 $ 3.217 09/16/2002 500 $ 3.10 09/17/2002 2,200 $ 3.207 09/18/2002 3,100 $ 3.25 09/19/2002 600 $ 3.25 09/20/2002 5,800 $ 3.233 09/23/2002 1,800 $ 3.20 09/24/2002 3,000 $ 3.30 10/02/2002 3,100 $ 3.00 10/09/2002 3,500 $ 3,00 10/10/2002 ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Item 7 is hereby amended as follows: (a) Joint Filing Agreement dated October 17, 2002 by and between Robert E. Robotti and Robotti & Company, Incorporated (The remainder of this page was intentionally left blank) ------------------------------- ----------------------------------- CUSIP No. 023395 10 6 Page 6 of 8 Pages ------------------------------- ----------------------------------- SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, each of the undersigned certifies that the information set forth in this statement, as amended, is true, complete and correct. Date: October 17, 2002 By: /s/ Robert E. Robotti -------------------------------- Name: Robert E. Robotti Robotti & Company, Incorporated By: /s/Robert E. Robotti -------------------------------- Name: Robert E. Robotti Title: Director, President and Treasurer ------------------------------- ----------------------------------- CUSIP No. 023395 10 6 Page 7 of 8 Pages ------------------------------- ----------------------------------- EXHIBIT INDEX The following documents are filed herewith: Exhibit Page (a) Joint Filing Agreement dated October 17, 2002 by and between 8 Robert E. Robotti and Robotti & Company, Incorporated (The remainder of this page was intentionally left blank) ------------------------------- ----------------------------------- CUSIP No. 023395 10 6 Page 8 of 8 Pages ------------------------------- ----------------------------------- JOINT FILING AGREEMENT The undersigned parties hereby agree that the Schedule 13D Amendment No.2 filed herewith relating to the Common Shares without par value of Amcast Industrial Corporation is being filed jointly with the Securities and Exchange Commission pursuant to Rule 13d-1(k) on behalf of each such person. Date: October 17, 2002 By: /s/ Robert E. Robotti -------------------------------- Name: Robert E. Robotti Robotti & Company, Incorporated By: /s/ Robert E. Robotti -------------------------------- Name: Robert E. Robotti Title: Director, President and Treasurer