-----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, IQDC9UGtUjzEuR+uos9mytR2CU9O5L7iyebzbtbJmBG2TwWTxTYhkgAZxNPM/j2b INNhhcdtRuaqSZqpA5qALQ== 0000950123-99-006469.txt : 19990714 0000950123-99-006469.hdr.sgml : 19990714 ACCESSION NUMBER: 0000950123-99-006469 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990713 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DECORA INDUSTRIES INC CENTRAL INDEX KEY: 0000743029 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS PRODUCTS, NEC [3089] IRS NUMBER: 680003300 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-39357 FILM NUMBER: 99663226 BUSINESS ADDRESS: STREET 1: 1 MILL ST CITY: FORT EDWARD STATE: NY ZIP: 12828 BUSINESS PHONE: 5187476255 MAIL ADDRESS: STREET 1: 1 MILL STREET CITY: FORT EDWARD STATE: NY ZIP: 12828 FORMER COMPANY: FORMER CONFORMED NAME: UTILITECH INC DATE OF NAME CHANGE: 19920419 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TEXTRON MASTER TRUST CENTRAL INDEX KEY: 0001052148 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133380685 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: STATE STREET BANK AND TRUST CO STREET 2: PO BOX 1992 CITY: BOSTON STATE: MA ZIP: 02105-1992 BUSINESS PHONE: 6179859972 MAIL ADDRESS: STREET 1: STATE STREET BANK AND TRUST CO STREET 2: PO BOX 1992 CITY: BOSTON STATE: MA ZIP: 02105-1992 SC 13G/A 1 AMENDMENT NO. 2 TO SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ----------------- SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 2)(1) Decora Industries, Inc. (NAME OF ISSUER) Common Stock, $.01 par value per share (TITLE OF CLASS OF SECURITIES) 243593100 (CUSIP NUMBER) September 30, 1997 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d - 1(b) [ ] Rule 13d - 1(c) [ ] Rule 13d - 1(d) - ---------- (1) The remainder of this cover page shall be filled out for a reporting person's initial filing of this form with respect to the subject class of securities, and for any subsequent amendment containing information which could alter the 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). Page 1 of 6 2 - ------------------- ----------------- CUSIP NO. 243593100 13G PAGE 2 OF 6 PAGES - ------------------- ----------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) State Street Bank and Trust Company, As Trustee of the Textron Master Trust - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION A Massachusetts Trust - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 2,158,447 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 0 PERSON -------------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 2,158,447 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,158,447 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 22.7% (based on 7,331,378 shares outstanding as reported to the Reporting Person by representatives of Decora Industries, Inc.) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* EP - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT 3 - ------------------- ----------------- CUSIP NO. 243593100 13G PAGE 3 OF 6 PAGES - ------------------- ----------------- ITEM 1(a). NAME OF ISSUER: Decora Industries, Inc. (the "Company") ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: One Mill Street, Fort Edward, NY 12828 ITEM 2(a). NAME OF PERSON FILING: State Street Bank and Trust Company, as Trustee of the Textron Master Trust ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: One Enterprise Drive, Master Trust - W6C, North Quincy, MA 02171, Attn: Thomas C. Poppey ITEM 2(c). CITIZENSHIP: Massachusetts ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $.01 par value per share, of the Company ("Common Stock") ITEM 2(e). CUSIP NUMBER: 243593100 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act; (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act; (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) [ ] Investment company registered under Section 8 of the Investment Company Act; (e) [ ] An investment adviser in accordance with Rule 13-d(b)(1)(ii)(E); (f) [X] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [ ] 4 - ------------------- ----------------- CUSIP NO. 243593100 13G PAGE 4 OF 6 PAGES - ------------------- ----------------- ITEM 4. OWNERSHIP. (a) Amount beneficially owned: 2,158,447* (b) Percent of Class: 22.7% (based on 7,331,378 shares outstanding as reported to the Reporting Person by representatives of Decora Industries, Inc.) (c) Number of shares to which such person has: (i) Sole power to vote or to direct the vote: 2,158,447* (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 2,158,447* (iv) Shared power to dispose or direct the disposition of: 0 * State Street Bank and Trust Company, as Trustee for the Textron Master Trust beneficially owns the 2,158,447 shares of Common Stock reported hereon as a result of its record ownership of three (3) immediately exercisable Warrants to purchase an aggregate total of 2,158,447 shares of Common Stock at any time prior to September 30, 2005. 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 BY THE PARENT HOLDING COMPANY. Not applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable 5 - ------------------- ----------------- CUSIP NO. 243593100 13G PAGE 5 OF 6 PAGES - ------------------- ----------------- ITEM 9. NOTICE OF DISSOLUTION OF A GROUP. Not applicable ITEM 10. CERTIFICATION. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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. 6 - ------------------- ----------------- CUSIP NO. 243593100 13G PAGE 6 OF 6 PAGES - ------------------- ----------------- SIGNATURE 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. Date: July 1, 1999 ---------------------------------- TEXTRON MASTER TRUST By: State Street Bank and Trust Company as Trustee By: /s/ Thomas C. Poppey -------------------------------- Name: Thomas C. Poppey Title: Client Service Officer -----END PRIVACY-ENHANCED MESSAGE-----