-----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, Ur1k9tYOmtZVrCds51GjRQShMf/El/cBZ+9OMt43fChMTDG+0OC9vnp2EZdsVxt1 ZGBxluNvkvtt1JbWHpYgHQ== 0000898318-99-000020.txt : 19991027 0000898318-99-000020.hdr.sgml : 19991027 ACCESSION NUMBER: 0000898318-99-000020 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991026 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARBIDE GRAPHITE GROUP INC /DE/ CENTRAL INDEX KEY: 0000888918 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRICAL INDUSTRIAL APPARATUS [3620] IRS NUMBER: 251575609 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-44481 FILM NUMBER: 99733938 BUSINESS ADDRESS: STREET 1: ONE GATEWAY CTR STREET 2: 19TH FL CITY: PITTSBURGH STATE: PA ZIP: 15222 BUSINESS PHONE: 4125623700 MAIL ADDRESS: STREET 1: ONE GATEWAY CTR STREET 2: 19TH FL CITY: PITTSBURGH STATE: PA ZIP: 15222 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FILLER JAMES J CENTRAL INDEX KEY: 0001097672 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O JEFFERSON IRON & METAL BRKRG CO STREET 2: P O BOX 131449 CITY: BIRMINGHAM STATE: AL ZIP: 35213 MAIL ADDRESS: STREET 1: C/O JEFFERSON IRON 7 METAL BFKRG CO CITY: BIRMINGHAM STATE: AL ZIP: 35213 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___)* Carbide/Graphite Group, Inc. ____________________________ (Name of Issuer) Common Stock (par value $0.01 per share) ________________________________________ (Title of Class of Securities) 140777103 ______________ (CUSIP Number) June 17, 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: [ ] 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 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. 140777103 Schedule 13G Page 2 of 6 Pages 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): James J. Filler 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS): (a) [ X ] (b) [ ] Mr. Filler is a 25% owner of Jefferson Capitol, Inc. and Jefferson Iron & Metal Brkrg. Co. Profit Sharing Plan. 3 SEC USE ONLY: 4 CITIZENSHIP OR PLACE OF ORGANIZATION: United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5 SOLE VOTING POWER: 554,150 6 SHARED VOTING POWER 273,450 7 SOLE DISPOSITIVE POWER 554,150 8 SHARED DISPOSITIVE POWER 273,450 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 827,600 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS): [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 9.9% 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): IN Page 3 of 6 Pages Introductory Note In its most recent Form 10-Q filed with the Commission on June 14, 1999, Carbide/Graphite Group, Inc. reported that as of April 30, 1999 it had 8,327,842 shares of Common Stock issued and outstanding. Item 1 (a) Name of Issuer Carbide/Graphite Group, Inc. (b) Address of Issuer's Principal Executive Offices One Gateway Center 19th Floor Pittsburgh, PA 15222 Item 2 (a) Name of Person Filing James J. Filler (b) Address of Principal Business Office or, if none, Residence The principal business office for Mr. Filler is: c/o Jefferson Iron & Metal Brkrg Co. P.O. Box 131449 Birmingham, Alabama 35213 (c) Citizenship Mr. Filler is a United States citizen. (d) Title of Class of Securities Common Stock, par value $0.01 per share (e) CUSIP Number Not applicable. Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: Not Applicable Item 4. Ownership (a) Amount Beneficially Owned Mr. Filler beneficially owns a total of 827,600 shares of the Common Stock, par value $.01 of Carbide/Graphite Group, Inc. This number includes shares held in Mr. Filler's Individual Retirement Account ("IRA"), as well as shares held by his daughter, Nan Filler, and in the IRA of his wife, Carol Filler. Of those shares beneficially owned by Mr. Filler, 111,250 shares are Page 4 of 6 Pages indirectly owned through Jefferson Capitol, Inc. (a corporation owned 25% by Mr Filler); 162,200 shares are indirectly owned through Jefferson Iron & Metal Brkrg Co. Profit-Sharing Plan (in which Mr. Filler holds a 25% interest). (b) Percent of Class Mr. Filler beneficially owns 9.9% of the Common Stock, par value $.01 of Carbide/Graphite Group, Inc. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote Mr. Filler has the sole power to direct the vote of an aggregate of 554,150 shares. This number includes shares held directly by Mr. Filler, as well as those held in Mr. Filler's IRA, his wife, Carol Filler's, IRA and those held by his daughter. (ii) shared power to vote or to direct the vote Mr. Filler shares power to direct the vote of an aggregate of 273,450 shares. This number includes shares held by his daughter and in his wife's IRA. This number also includes shares indirectly owned by Mr. Filler through Jefferson Capitol, Inc. and Jefferson Iron & Metal Bkrg Co. Profit-Sharing Plan. (iii) sole power to dispose or to direct the disposition of Mr. Filler has the sole power to direct the disposition of an aggregate of 554,150 shares. This number includes shares held directly by Mr. Filler, as well as those held in Mr. Filler's IRA. (iv) shared power to dispose or to direct the disposition of Mr. Filler shares power to direct the vote of an aggregate of 273,450 shares. This number includes shares held by his daughter and in his wife's IRA. This number also includes shares indirectly owned by Mr. Filler through Jefferson Capitol, Inc. and Jefferson Iron & Metal Bkrg Co. Profit- Sharing Plan. In making his determination as to his beneficial ownership of Carbide/Graphite Group, Inc., Mr. Filler mistakenly counted only the 444,450 shares he beneficially owns (as of the date of this filing) directly in his capacity as an individual. Taking into account only Mr. Filler's direct beneficial ownership in his individual capacity, Mr. Filler became the beneficial owner of more than 5% of Carbide/Graphite Group, Inc. Common Stock on October 13, 1999, at which point he purchased 10,000 shares, giving him a total of 426,700 shares, or 5.1% of issued and outstanding Carbide/Graphite Group, Inc. Common Stock. Mr. Filler failed to include the 16,500 shares held in his IRA as of October 12, 1999 and to date; the 36,700 shares held in his wife, Carol Filler's, IRA as of October 12, 1999 and to date; the 40,000 shares held by his daughter, Nan Filler, as of October 12, 1999 (which number is 56,500 as of the date of this filing); the 60,500 shares held by Jefferson Capitol, Inc., as of October 12, 1999 (which number is 111,250 as of the date of this filing); and the 122,200 shares held by Jefferson Iron & Metal Bkrg Co. Profit Sharing Plan as of October 12, 1999 (which number is 162,200 as of the date of this filing). Page 5 of 6 Pages 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 Not Applicable Item 9. Notice of Dissolution of 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 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. 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. 10/25/99 __________________________ (DATE) /s/ James J. Filler __________________________ James J. Filler The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See 240.13d-7 for other parties for whom copies are to be sent. Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001) -----END PRIVACY-ENHANCED MESSAGE-----