Filing Details
- Accession Number:
- 0001104659-17-026721
- Form Type:
- 13D Filing
- Publication Date:
- 2017-04-27 11:03:33
- Filed By:
- Danziger Frederick M
- Company:
- Indus Realty Trust Inc. (NASDAQ:INDT)
- Filing Date:
- 2017-04-27
- SEC Url:
- 13D Filing
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
Elissa F. Cullman | 69,225 | 850,199 | 69,225 | 850,199 | 69,225 | |
Susan R. Cullman | 14,850 | 310,599 | 14,850 | 310,599 | 14,850 | |
Lucy C. Danziger | 48,160 | 767,361 | 48,160 | 767,361 | 48,160 | |
Frederick M. Danziger | 93,286 | 513,817 | 93,286 | 513,817 | 93,286 | |
Alexandra Ernst | 103,534 | 204,755 | 103,534 | 204,755 | 103,534 | |
B. Bros. Realty | 59,402 | 448,257 | 59,402 | 448,257 | 59,402 | |
Matthew L. Ernst | 0 | 116,037 | 0 | 116,037 | 0 | |
Rebecca D. Gamzon | 7,349 | 373,606 | 7,349 | 373,606 | 4,670 |
| UNITED STATES |
|
| SECURITIES AND EXCHANGE COMMISSION |
|
| Washington, D.C. 20549 |
|
| SCHEDULE 13D |
|
GRIFFIN INDUSTRIAL REALTY, INC.
(Name of Issuer)
Common Stock $0.01 Par Value
(Title of Class of Securities)
398231 10 0
(CUSIP Number)
Frederick M. Danziger
641 Lexington Avenue
New York, New York 10022 (212) 218-7910
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
Voluntary Update
(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 (b) (3) or (4), check the following box o.
Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d- 1 (a) 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).
CUSIP No. 299890108 | |||||
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| 2. | Check the Appropriate Box If a Member of a Group* | |||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds* | |||
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| 5. | Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
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CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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| (a) | o | ||
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| (b) | x See Item 6 and Insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds (See Instructions) | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
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CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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| (a) | o | ||
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| (b) | x See Item 6 and Insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds (See Instructions) | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
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CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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| (a) | o | ||
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| (b) | x See Item 6 and Insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds (See Instructions) | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
5
CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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| (a) | o | ||
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| (b) | x See Item 6 and Insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds (See Instructions) | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
6
CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group* | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds* | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
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CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group* | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds (See Instructions) | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
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CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds (See Instructions) | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
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CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds (See Instructions) | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
10
CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds (See Instructions) | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
11
CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds (See Instructions) | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
12
CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds (See Instructions) | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
13
CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds (See Instructions) | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
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CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group* | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds* | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
15
CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group* | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds* | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
16
CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group* | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds* | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
17
CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group* | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds* | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
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| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
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| 13. | Percent of Class Represented by Amount in Row (11) | |||
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| 14. | Type of Reporting Person (See Instructions) | |||
18
CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group* | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds* | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
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8. | Shared Voting Power | ||||
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9. | Sole Dispositive Power | ||||
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10. | Shared Dispositive Power | ||||
| |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
| |||||
| 13. | Percent of Class Represented by Amount in Row (11) | |||
| |||||
| 14. | Type of Reporting Person (See Instructions) | |||
19
CUSIP No. 299890108 | |||||
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| 1. | Names of Reporting Persons. | |||
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| 2. | Check the Appropriate Box if a Member of a Group* | |||
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| (a) | o | ||
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| (b) | x See item 6 and insert 1 | ||
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| 3. | SEC Use Only | |||
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| 4. | Source of Funds* | |||
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| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
| 6. | Citizenship or Place of Organization | |||
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Number of | 7. | Sole Voting Power | |||
| |||||
8. | Shared Voting Power | ||||
| |||||
9. | Sole Dispositive Power | ||||
| |||||
10. | Shared Dispositive Power | ||||
| |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
| |||||
| 13. | Percent of Class Represented by Amount in Row (11) | |||
| |||||
| 14. | Type of Reporting Person (See Instructions) | |||
20
CUSIP No. 299890108 | |||||
| |||||
| 1. | Names of Reporting Persons. | |||
| |||||
| 2. | Check the Appropriate Box if a Member of a Group* | |||
|
| (a) | o | ||
|
| (b) | x See item 6 and insert 1 | ||
| |||||
| 3. | SEC Use Only | |||
| |||||
| 4. | Source of Funds* | |||
| |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
| 6. | Citizenship or Place of Organization | |||
| |||||
Number of | 7. | Sole Voting Power | |||
| |||||
8. | Shared Voting Power | ||||
| |||||
9. | Sole Dispositive Power | ||||
| |||||
10. | Shared Dispositive Power | ||||
| |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
| |||||
| 13. | Percent of Class Represented by Amount in Row (11) | |||
| |||||
| 14. | Type of Reporting Person (See Instructions) | |||
21
CUSIP No. 299890108 | |||||
| |||||
| 1. | Names of Reporting Persons. | |||
| |||||
| 2. | Check the Appropriate Box if a Member of a Group* | |||
|
| (a) | o | ||
|
| (b) | x See item 6 and insert 1 | ||
| |||||
| 3. | SEC Use Only | |||
| |||||
| 4. | Source of Funds* | |||
| |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
| 6. | Citizenship or Place of Organization | |||
| |||||
Number of | 7. | Sole Voting Power | |||
| |||||
8. | Shared Voting Power | ||||
| |||||
9. | Sole Dispositive Power | ||||
| |||||
10. | Shared Dispositive Power | ||||
| |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
| |||||
| 13. | Percent of Class Represented by Amount in Row (11) | |||
| |||||
| 14. | Type of Reporting Person (See Instructions) | |||
22
CUSIP No. 299890108 | |||||
| |||||
| 1. | Names of Reporting Persons. | |||
| |||||
| 2. | Check the Appropriate Box if a Member of a Group* | |||
|
| (a) | o | ||
|
| (b) | x See item 6 and insert 1 | ||
| |||||
| 3. | SEC Use Only | |||
| |||||
| 4. | Source of Funds* | |||
| |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
| |||||
| 6. | Citizenship or Place of Organization | |||
| |||||
Number of | 7. | Sole Voting Power | |||
| |||||
8. | Shared Voting Power | ||||
| |||||
9. | Sole Dispositive Power | ||||
| |||||
10. | Shared Dispositive Power | ||||
| |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) x | |||
| |||||
| 13. | Percent of Class Represented by Amount in Row (11) | |||
| |||||
| 14. | Type of Reporting Person (See Instructions) | |||
23
SCHEDULE 13D ITEMS
Explanatory Note
This Amendment No. 4 (this Amendment) amends and supplements the Schedule 13D filed on September 23, 1999 with the Securities and Exchange Commission (the Original Schedule 13D and, as further amended and supplemented by Amendment Nos. 1, 2 and 3 to the Original Schedule 13D, the Schedule 13D) by the Reporting Persons with respect to the Common Stock of the Issuer. Capitalized terms not defined in this Amendment shall have the meaning ascribed to them in the Original Schedule 13D.
Item 1. Security and Issuer
This Amendment amends and restates Item 1 of the Schedule 13D in its entirety as set forth below:
This Schedule 13D relates to shares of Common Stock, par value $0.01 per share (the Common Stock), of Griffin Industrial Realty, Inc., a Delaware corporation (the Issuer). The address of the Issuers principal executive offices is 641 Lexington Avenue, New York, New York 11022.
The purpose of this Amendment No. 4 is to report the acquisitions and dispositions of shares of Common Stock by Reporting Persons after February 15, 2012, the date of Amendment No. 3 (as described in Item 4), to update changes of trustees since Amendment No. 3, including those resulting from the deaths of Edgar and Louise Cullman and to update Insert 1.
Item 2. Identity and Background
This Amendment amends and restates Item 2 of the Schedule 13D in its entirety as set forth below:
See Insert 1 attached hereto.
None of the persons filing this Schedule (the Reporting Persons) has been convicted in a criminal proceeding (other than for traffic violations or similar misdemeanors) during the past 5 years or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violations with respect to such laws. All individuals are citizens of the United States and all trusts, partnerships and corporations are organized or formed under the laws of the United States.
24
Item 3. Source and Amount of Funds or Other Consideration
All purchases reported in this Amendment were funded with cash held in trusts or individual accounts that made the purchases, as applicable. The aggregate purchase price of the purchases by, or for the benefit of, Lucy C. Danziger was $1,672,189 for 52,969 shares. The aggregate purchase price of the purchases by trusts for the benefit of Frederick M. Danziger was $47,700 for 1,500 shares. The aggregate purchase price of the purchases by Michael S. Gamzon was $128,220 for 5,000 shares. The aggregate purchase price of the purchases by John J. Kirby, Jr. was $26,510 for the 1,000 shares.
This Amendment amends and restates Item 5 of the Schedule 13D in its entirety as set forth below:
See Insert 1 hereto and cover pages.
Voting power and power to direct disposition of securities is shared by trustees of each of the trusts referred to in Item 2 as set forth on Insert 1. The officers and directors of the Samuel J. Bloomingdale Foundation, Inc., and Louise B. and Edgar M. Cullman Foundation, Inc. (collectively, the Foundations) referred to in Insert 1 as set forth on Insert 1 hereto share voting power and the power to dispose of such securities. Such shares are, however, not included in the individual totals shown on cover pages. Shares owned by B. Bros. Realty LLC are shown as beneficially owned for voting and dispositive purposes by both Managers of that LLC and also by the company itself.
A copy of the Joint Filing Agreement executed by the Reporting Persons, including powers of attorney, is attached hereto as Exhibit 1 to Schedule 13D.
26
Each of the undersigned hereby certifies after reasonable inquiry, that to the best of his/her knowledge and belief, the information set forth in this statement is true, complete and correct.
Date: 4/27/2017
|
| Susan R. Cullman* |
|
| Susan R. Cullman, individually, as |
|
| Custodian and as Trustee of the Trusts |
|
| of which she is a Trustee as indicated |
|
| on Insert 1 hereto and as executor of |
|
| Estate of Edgar M. Cullman |
|
|
|
|
| Edgar M. Cullman, Jr.* |
|
| Edgar M. Cullman, Jr., individually, as |
|
| Custodian and as Trustee of the Trusts |
|
| of which he is a Trustee as indicated |
|
| on Insert 1 hereto and as executor of |
|
| Estate of Edgar M. Cullman |
|
|
|
|
| Lucy C. Danziger* |
|
| Lucy C. Danziger, individually and as |
|
| Trustee of the Trusts of which she is a |
|
| Trustee as indicated on Insert 1 hereto and |
|
| as executor of Estate of Edgar M. Cullman |
|
|
|
|
| John L. Ernst* |
|
| John L. Ernst, individually and as |
|
| Trustee of the Trusts of which he is a |
|
| Trustee, and as Guardian, |
|
| all as indicated on Insert 1 hereto |
27
| Carolyn S. Fabrici* | ||
|
| Carolyn S. Fabrici, individually and as | |
|
| Trustee of the Trusts of which she is a | |
|
| Trustee as indicated on Insert 1 hereto | |
|
|
| |
|
| /s/ Frederick M. Danziger | |
|
| Frederick M. Danziger, individually and | |
|
| as Trustee of the Trusts of which he is | |
|
| a Trustee as indicated on Insert 1 | |
|
| hereto | |
|
|
| |
|
| Elissa F. Cullman* | |
|
| Elissa F. Cullman, individually and as | |
|
| Trustee of the Trusts of which she is a | |
|
| Trustee as indicated on Insert 1 hereto | |
|
|
| |
|
| Rebecca D. Gamzon* | |
|
| Rebecca D. Gamzon, individually | |
|
| formerly Rebecca B. Danziger as custodian for minor childern Andrew Gamzon and Sarah Gamzon | |
|
|
| |
|
| Matthew L. Ernst* | |
|
| Matthew L. Ernst, individually, as custodian for minor children Jonah Ernst and Odessa Ernst | |
|
|
| |
|
| B. BROS. REALTY LLC | |
|
|
| |
|
|
| |
|
| By | John L. Ernst* |
|
|
| John L. Ernst, |
|
|
| Co Managing Member |
|
|
| |
|
| Margot P. Ernst* | |
|
| Margot P. Ernst, not individually but | |
|
| as Trustee of the Trusts of which she | |
|
| is a Trustee as indicated on Insert 1 | |
|
| hereto | |
|
|
| |
|
| Alexandra Ernst* | |
|
| Alexandra Ernst, individually and as | |
|
| Trustee of the Trusts of which she is a | |
|
| Trustee as indicated on Insert 1 hereto as custodian of minor children Cooper Siegel and Shepard Siegel |
28
| David M. Danziger* | ||
|
| David M. Danziger, individually, as custodian for minor children Sameena Danziger and Sunaina Danziger | |
|
|
| |
|
| Edgar M. Cullman III* | |
|
| Edgar M. Cullman III | |
|
|
| |
|
| Caroline B. Sicher* | |
|
| Caroline B. Sicher, individually, Trustee for Trusts which she is a beneficiary | |
|
|
| |
|
| By: | /s/ Frederick M. Danziger |
|
| Frederick M. Danziger | |
|
| Attorney-in-Fact | |
|
|
| |
|
| Samuel Cullman* | |
|
| Samuel Cullman, individually | |
|
|
| |
|
| Jessica P Kerns* | |
|
| Jessica P Kerns, individually and as | |
|
| Trustee of Trusts which she is a Trustee | |
|
|
| |
|
| Georgina Cullman* | |
|
| Georgina Cullman, individually | |
|
|
| |
|
| Michael Gamzon* | |
|
| Michael Gamzon, individually as custodian for minor children Andrew Gamzon and Sarah Gamzon and as | |
|
| Trustee of Trusts which he is a | |
|
| Trustee indicated on Insert 1. | |
|
|
| |
|
| Sheena Danziger* | |
|
| Sheena Danziger as custodian for minor children Sameena Danziger and Sunaina, Danziger and as | |
|
| Trustee of Trusts which she is a | |
|
| Trustee as indicated on Insert 1 | |
|
|
| |
|
| John J. Kirby* | |
|
| Individually and as Trustee of the | |
|
| Trusts of which he is a | |
|
| Trustee as indicated on Insert 1 hereto. | |
|
|
| |
|
| Richard M. Danziger* | |
|
| Trust of which he is a | |
|
| Trustee as indicated on Insert 1 hereto. |
* Signed by Frederick M. Danziger under Joint Filing Agreement.
29
Griffin Industrial Realty, Inc. |
|
|
Schedule 13D |
| Insert 1Item 2. |
Amendment #4 |
|
|
|
|
| (3) |
|
|
|
|
|
| |||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
| Number of shares |
| Total number of |
|
| ||
|
|
|
| and the name, principal |
| of Issuers |
| shares of the |
|
| ||
|
|
|
| business and address of any |
| Common Stock |
| Issuers Common |
|
| ||
(1) |
| (2) |
| corporation or other |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| organization in which such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
|
|
|
|
|
|
|
|
|
| 0 |
| 0 |
|
|
|
|
|
|
|
|
|
|
|
|
|
1. |
| Edgar M. Cullman, Jr. |
| 770 Park Avenue |
| Co Managing Member |
| (108,553 | ) | 67,313 |
| 1.35 |
|
|
|
|
|
|
|
|
|
|
|
|
|
2. |
| Elissa F. Cullman |
| 770 Park Avenue |
| Interior Decorator |
|
|
| 14,850 |
| .30 |
|
|
|
|
|
|
|
|
|
|
|
|
|
3. |
| Louise B. Cullman Deceased |
|
|
| Housewife |
| (18,410 | ) | 0 |
| 0 |
|
|
|
|
|
|
|
|
|
|
|
|
|
4. |
| Susan R. Cullman |
| 88 Saddle Rock Road |
| Housewife |
| (32,824 | ) | 48,160 |
| .96 |
|
|
|
|
|
|
|
|
|
|
|
|
|
5. |
| Lucy C. Danziger |
| 2 E. 73rd St. |
| Housewife |
| 3,000 |
| 63,322 |
| 1.27 |
30
|
|
| (3) |
|
|
|
|
|
| |||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
| Number of shares |
| Total number of |
|
| ||
|
|
|
| and the name, principal |
| of Issuers |
| shares of the |
|
| ||
|
|
|
| business and address of any |
| Common Stock |
| Issuers Common |
|
| ||
(1) |
| (2) |
| corporation or other |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| organization in which such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
6. |
| Frederick M. |
| 2 E. 73rd St. |
| Griffin Industrial Realty, Inc. 641 Lexington Avenue 26th Floor New York, New York |
| (40,000 | ) | 63,534 |
| 1.27 |
|
|
|
|
|
|
|
|
|
|
|
|
|
7. |
| David M. Danziger |
| 115 Central Park West |
| GCL 820 LLC |
| (5,580 | ) | 23,577 |
| .47 |
|
|
|
|
|
|
|
|
|
|
|
|
|
8. |
| Rebecca D. Gamzon |
| 1165 Park Ave |
| Housewife |
|
|
| 10,550 |
| .21 |
|
|
|
|
|
|
|
|
|
|
|
|
|
9. |
| John L. Ernst |
| 860 U.N. Towers |
| Chairman & President |
|
|
| 4,670 |
| .09 |
|
|
|
|
|
|
|
|
|
|
|
|
|
10. |
| Alexandra Ernst |
| 412 Trout Run |
| Writer |
|
|
| 1,548 |
| .03 |
|
|
|
|
|
|
|
|
|
|
|
|
|
11. |
| LCD, EMC, Jr. and |
|
|
|
|
| (76,448 | ) | 0 |
| 0 |
|
|
|
|
|
|
|
|
|
|
|
|
|
12. |
| Carolyn S. Fabrici |
| 10195 East Happy Valley Road Scottsdale, AZ 85255 |
| Housewife |
|
|
| 0 |
| 0 |
31
|
|
| (3) |
|
|
|
|
|
| |||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
| Number of shares |
| Total number of |
|
| ||
|
|
|
| and the name, principal |
| of Issuers |
| shares of the |
|
| ||
|
|
|
| business and address of any |
| Common Stock |
| Issuers Commn |
|
| ||
(1) |
| (2) |
| corporation or other |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| organization in which such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Sto | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
13. |
| AE |
|
|
|
|
|
|
| 200 |
| .004 |
|
|
|
|
|
|
|
|
|
|
|
|
|
14. |
| Carolyn B. Sicher, |
| 177 E. 77th St. Apt. 4C New York, N.Y. 10021 |
| Housewife |
|
|
| 21,422 |
| .43 |
|
|
|
|
|
|
|
|
|
|
|
|
|
15. |
| LCD Trustee |
|
|
|
|
|
|
| 29,964 |
| .60 |
|
|
|
|
|
|
|
|
|
|
|
|
|
16. |
| SRC, CBS, EMC, Jr., John J. Kirby (JJK) |
|
|
|
|
|
|
| 50,880 |
| 1.02 |
|
|
|
|
|
|
|
|
|
|
|
|
|
17. |
| SRC, EMC, Jr., CBS and JJK |
|
|
|
|
|
|
| 18,714 |
| .37 |
|
|
|
|
|
|
|
|
|
|
|
|
|
18. |
| DMD, RDG and LCD |
|
|
|
|
|
|
| 29,192 |
| .58 |
32
|
|
| (3) |
|
|
|
|
|
| |||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
| Number of shares |
| Total number of |
|
| ||
|
|
|
| and the name, principal |
| of Issuers |
| shares of the |
|
| ||
|
|
|
| business and address of any |
| Common Stock |
| Issuers Common |
|
| ||
(1) |
| (2) |
| corporation or other |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| organization in which such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
19. |
| EMC, Jr., EFC, SBC, GDC and EMC III |
|
|
|
|
|
|
| 25,006 |
| .50 |
|
|
|
|
|
|
|
|
|
|
|
|
|
20. |
| SRC, EMC, Jr.,CBS and JJK Trustees |
|
|
|
|
|
|
| 26,000 |
| .52 |
|
|
|
|
|
|
|
|
|
|
|
|
|
21. |
| LCD, DMD and RDG LCD |
|
|
|
|
|
|
| 5,418 |
| .11 |
|
|
|
|
|
|
|
|
|
|
|
|
|
22. |
| EMC, Jr., EFC, SBS, GDC and EMC III |
|
|
|
|
|
|
| 9,974 |
| .20 |
|
|
|
|
|
|
|
|
|
|
|
|
|
23. |
| SRC, EMC Jr., CBS and JJK |
|
|
|
|
|
|
| 11,840 |
| .24 |
|
|
|
|
|
|
|
|
|
|
|
|
|
24. |
| LCD, DMD and RDG |
|
|
|
|
| 35,000 |
| 88,818 |
| 1.78 |
|
|
|
|
|
|
|
|
|
|
|
|
|
25. |
| EMC, Jr., EFC, SBC, GDC and EMC III |
|
|
|
|
|
|
| 40,190 |
| .80 |
33
|
|
| (3) |
|
|
|
|
|
| |||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
| Number of shares |
| Total number of |
|
| ||
|
|
|
| and the name, principal |
| of Issuers |
| shares of the |
|
| ||
|
|
|
| business and address of any |
| Common Stock |
| Issuers Common |
|
| ||
(1) |
| (2) |
| corporation or other |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| organization in which such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
26. |
| EMC, Jr., CBS, JJK and SRC |
|
|
|
|
|
|
| 40,090 |
| .80 |
|
|
|
|
|
|
|
|
|
|
|
|
|
27. |
| Margot P. Ernst Descendants of JLE |
|
|
|
|
|
|
| 4,364 |
| .09 |
|
|
|
|
|
|
|
|
|
|
|
|
|
28. |
| JLE, AE and CSF, Descendants of CSF |
|
|
|
|
|
|
| 3,844 |
| .08 |
|
|
|
|
|
|
|
|
|
|
|
|
|
29(a). |
| EFC, EMC, Jr., EMC III, SBC and |
|
|
|
|
|
|
| 38,976 |
| .78 |
|
|
|
|
|
|
|
|
|
|
|
|
|
29(b). |
| DMD, RDG, LCD and FMD Descendants of LCD |
|
|
|
|
|
|
| 10,400 |
| .21 |
|
|
|
|
|
|
|
|
|
|
|
|
|
29(c). |
| EMC, Jr., SRC and Descendants of SRC |
|
|
|
|
|
|
| 26,284 |
| .53 |
|
|
|
|
|
|
|
|
|
|
|
|
|
30. |
| MPE, AE and Descendants of JLE |
|
|
|
|
|
|
| 2,580 |
| .06 |
|
|
|
|
|
|
|
|
|
|
|
|
|
31. |
| JLE, AE and CSF Descendants of CSF |
|
|
|
|
|
|
| 11,701 |
| .23 |
34
|
|
|
| (3) |
|
|
|
|
|
| ||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or |
|
|
|
|
|
| ||
|
|
|
| employment |
|
|
|
|
|
| ||
|
|
|
| and the name, principal |
|
|
|
|
|
| ||
|
|
|
| business and address of |
| Number of |
| Total number of |
|
| ||
|
|
|
| any |
| shares |
| shares of the |
|
| ||
|
|
|
| corporation or other |
| of Issuers |
| Issuers |
|
| ||
|
|
|
| organization in which |
| Common Stock |
| Common |
|
| ||
(1) |
| (2) |
| such |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| employment is |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
And 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
32(a). |
| LCD, DMD |
|
|
|
|
|
|
| 25,944 |
| .52 |
|
|
|
|
|
|
|
|
|
|
|
|
|
32(b). |
| EMC, Jr., EFC, EMC III, SBC and |
|
|
|
|
|
|
| 49,502 |
| .99 |
|
|
|
|
|
|
|
|
|
|
|
|
|
32(c). |
| SRC, EMC Jr. and |
|
|
|
|
|
|
| 35,878 |
| .72 |
|
|
|
|
|
|
|
|
|
|
|
|
|
33. |
| CSF, AE and JLE, Trustees |
|
|
|
|
|
|
| 3,974 |
| .08 |
|
|
|
|
|
|
|
|
|
|
|
|
|
34. |
| CSF, AE |
|
|
|
|
|
|
| 3,974 |
| .08 |
|
|
|
|
|
|
|
|
|
|
|
|
|
35(a). |
| LCD, DMD and |
|
|
|
|
|
|
| 10,830 |
| .22 |
|
|
|
|
|
|
|
|
|
|
|
|
|
35(b). |
| EMC Jr., EFC, EMC III, SBC and GDC Trustees |
|
|
|
|
|
|
| 15,408 |
| .31 |
|
|
|
|
|
|
|
|
|
|
|
|
|
35(c). |
| SRC, EMC, Jr. and |
|
|
|
|
|
|
| 14,200 |
| .28 |
|
|
|
|
|
|
|
|
|
|
|
|
|
36(a). |
| LCD, DMD and |
|
|
|
|
|
|
| 7,000 |
| .14 |
|
|
|
|
|
|
|
|
|
|
|
|
|
36(b). |
| EMC, Jr., EFC, EMC III, SBC and |
|
|
|
|
|
|
| 12,124 |
| .24 |
|
|
|
|
|
|
|
|
|
|
|
|
|
36(c). |
| EMC, Jr., SRC and |
|
|
|
|
|
|
| 13,600 |
| .27 |
|
|
|
|
|
|
|
|
|
|
|
|
|
37. |
| LCD, DMD and RDG Trustees Descendants of LCD |
|
|
|
|
|
|
| 24,400 |
| .49 |
35
|
|
| (3) |
|
|
|
|
|
| |||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
| Number of shares |
| Total number of |
|
| ||
|
|
|
| and the name, principal |
| of Issuers |
| shares of the |
|
| ||
|
|
|
| business and address of any |
| Common Stock |
| Issuers Common |
|
| ||
(1) |
| (2) |
| corporation or other |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| organization in which such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
38. |
| EFC, EMC III, SBC, GDC and EMC, Jr. |
|
|
|
|
|
|
| 34,250 |
| .68 |
|
|
|
|
|
|
|
|
|
|
|
|
|
39. |
| EMC, Jr., CBS and SRC Descendants of SRC |
|
|
|
|
|
|
| 37,962 |
| .76 |
|
|
|
|
|
|
|
|
|
|
|
|
|
40. |
| MPE, AE and JLE Descendants of JLE |
|
|
|
|
|
|
| 3,194 |
| .06 |
|
|
|
|
|
|
|
|
|
|
|
|
|
41. |
| MLE, CSF, AE and JLE Descendants of CSF |
|
|
|
|
|
|
| 3,526 |
| .07 |
|
|
|
|
|
|
|
|
|
|
|
|
|
42. |
| SRC, EMC, Jr. and LCD, Descendants of LCD |
|
|
|
|
|
|
| 19,228 |
| .38 |
|
|
|
|
|
|
|
|
|
|
|
|
|
43. |
| SRC, LCD and EMC, Jr. Descendants of EMC, Jr. |
|
|
|
|
|
|
| 20,332 |
| .41 |
|
|
|
|
|
|
|
|
|
|
|
|
|
44. |
| EMC, Jr., SRC and CBS Descendants of SRC |
|
|
|
|
|
|
| 17,190 |
| .34 |
36
|
|
|
| (3) |
|
|
|
|
|
| ||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or |
|
|
|
|
|
| ||
|
|
|
| employment |
|
|
|
|
|
| ||
|
|
|
| and the name, principal |
| Number of |
| Total number of |
|
| ||
|
|
|
| business and address of |
| shares |
| shares of the |
|
| ||
|
|
|
| any |
| of Issuers |
| Issuers |
|
| ||
|
|
|
| corporation or other |
| Common Stock |
| Common |
|
| ||
(1) |
| (2) |
| organization in which |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
45. |
| JPK, CSF, u/w/o RGB |
|
|
|
|
|
|
| 39,138 |
| .78 |
|
|
|
|
|
|
|
|
|
|
|
|
|
46. |
| JLE and CSF Trustees |
|
|
|
|
|
|
| 39,138 |
| .78 |
|
|
|
|
|
|
|
|
|
|
|
|
|
47. |
| Samuel J. Bloomingdale Foundation, Inc.* SRC, EMC. Jr. Treas. & Dir, LCD, Secretary | C | haritable Foundation |
|
|
| (1,600 | ) | 18,042 |
| .36 |
|
|
|
|
|
|
|
|
|
|
|
|
|
48. |
| Estate of Edgar M. Cullman |
|
|
|
|
| (21,138 | ) | 0 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
49. |
| LCD, SRC and EMC, Jr., |
|
|
|
|
|
|
| 17,420 |
| .35 .28 |
|
|
|
|
|
|
|
|
|
|
|
|
|
50. |
| LCD, DMD and FMD, |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
37
|
|
|
| (3) |
|
|
|
|
|
| ||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
|
|
|
|
|
| ||
|
|
|
| and the name, principal |
| Number of shares |
| Total number of |
|
| ||
|
|
|
| business and address of |
| of Issuers |
| shares of the |
|
| ||
|
|
|
| any |
| Common Stock |
| Issuers Common |
|
| ||
(1) |
| (2) |
| corporation or other |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| organization in which such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
51. |
| FMD, LCD, RDG and DMD LCD and RDG |
|
|
|
|
|
|
| 17,800 |
| .36 |
|
|
|
|
|
|
|
|
|
|
|
|
|
52. |
| LCD, FMD, DMD and RDG |
|
|
|
|
|
|
| 16,000 |
| .32 .32 |
|
|
|
|
|
|
|
|
|
|
|
|
|
53. |
| FMD, DMD and RDG Trustees |
|
|
|
|
|
|
| 3,200 |
| .06 |
|
|
|
|
|
|
|
|
|
|
|
|
|
54. |
| Richard M. Danziger (RMD), DMD, RDG and FMD, Trustees |
|
|
|
|
|
|
| 22,800 |
| .46 |
|
|
|
|
|
|
|
|
|
|
|
|
|
55. |
| MPE, AE and JLE, |
|
|
|
|
|
|
| 3,081 |
| .06 |
|
|
|
|
|
|
|
|
|
|
|
|
|
56. |
| EMC, Jr., EFC, EMC III, SBC, GDC |
|
|
|
|
|
|
| 7,200 |
| .14 |
|
|
|
|
|
|
|
|
|
|
|
|
|
38
|
|
|
| (3) |
|
|
|
|
|
| ||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
|
|
|
|
|
| ||
|
|
|
| and the name, principal |
| Number of shares |
| Total number of |
|
| ||
|
|
|
| business and address of |
| of Issuers |
| shares of the |
|
| ||
|
|
|
| any |
| Common Stock |
| Issuers Common |
|
| ||
(1) |
| (2) |
| corporation or other |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| organization in which such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15//2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
57. |
| EMC, Jr., EFC, EMC III Trustees, |
|
|
|
|
|
|
| 20,400 |
| .41 |
|
|
|
|
|
|
|
|
|
|
|
|
|
58. |
| EMC, Jr., EFC, EMC III, SBC and |
|
|
|
|
|
|
| 20,000 |
| .40 |
|
|
|
|
|
|
|
|
|
|
|
|
|
59. |
| EMC, Jr., and CBS, Trustees, |
|
|
|
|
|
|
| 14,000 |
| .28 |
|
|
|
|
|
|
|
|
|
|
|
|
|
60. |
| EMC, Jr., CBS and SRC, Trustees |
|
|
|
|
|
|
| 16,000 |
| .32 |
|
|
|
|
|
|
|
|
|
|
|
|
|
61. |
| FMD and R.M. Danziger (RMD) |
|
|
|
|
|
|
| 3,000 |
| .06 |
|
|
|
|
|
|
|
|
|
|
|
|
|
62. |
| FMD and RMD |
|
|
|
|
| 1,000 |
| 34,600 |
| .69 |
|
|
|
|
|
|
|
|
|
|
|
|
|
63. |
| B. Bros. LLC |
|
|
|
|
|
|
| 233,792 |
| 4.68 |
39
|
|
|
| (3) |
|
|
|
|
|
| ||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
|
|
|
|
|
| ||
|
|
|
| and the name, principal |
| Number of |
| Total number of |
|
| ||
|
|
|
| business and address of |
| shares |
| shares of the |
|
| ||
|
|
|
| any |
| of Issuers |
| Issuers |
|
| ||
|
|
|
| corporation or other |
| Common Stock |
| Common |
|
| ||
(1) |
| (2) |
| organization in which |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
64. |
| EMC, Jr. and SRC |
|
|
|
|
|
|
| 202 |
| .004 |
|
|
|
|
|
|
|
|
|
|
|
|
|
65. |
| JLE, MPE and AE, Descendants of JLE |
|
|
|
|
|
|
| 7,458 |
| .15 |
|
|
|
|
|
|
|
|
|
|
|
|
|
66. |
| JLE, EMC, Jr. and Roger Bloom (RB) Descendants of CSF |
|
|
|
|
|
|
| 2,000 |
| .04 |
|
|
|
|
|
|
|
|
|
|
|
|
|
67. |
| Matthew L. Ernst |
| 284 Jefferson Avenue |
| Screenwriter |
|
|
| 1,250 |
| .02 |
|
|
|
|
|
|
|
|
|
|
|
|
|
68. |
| JLE, CSF Benjamin C. Stewart |
|
|
|
|
|
|
| 5,996 |
| .12 |
40
|
|
|
| (3) |
|
|
|
|
|
| ||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or |
|
|
|
|
|
| ||
|
|
|
| employment |
|
|
|
|
|
| ||
|
|
|
| and the name, principal |
| Number of |
| Total number of |
|
| ||
|
|
|
| business and address of |
| shares |
| shares of the |
|
| ||
|
|
|
| any |
| of Issuers |
| Issuers |
|
| ||
|
|
|
| corporation or other |
| Common Stock |
| Common |
|
| ||
(1) |
| (2) |
| organization in which |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
69. |
| Jessica P. Kerns (JPK) |
| 241 Fifth Ave Unit #3B New York, N.Y. 10016 |
| Medical Doctor |
|
|
| 1,250 |
| .02 |
|
|
|
|
|
|
|
|
|
|
|
|
|
70. |
| Charitable Trust created by Justus Heijmans,* |
|
|
|
|
| (200 | ) | 0 |
| 0 |
|
|
|
|
|
|
|
|
|
|
|
|
|
71. |
| JLE, MPE and AE, |
|
|
|
|
|
|
| 1,100 |
| .02 |
|
|
|
|
|
|
|
|
|
|
|
|
|
72. |
| JLE, as Guardian |
|
|
|
|
|
|
| 2,679 |
| .05 |
|
|
|
|
|
|
|
|
|
|
|
|
|
73. |
| JLE, RB, JPK, Descendants of JLE |
|
|
|
|
|
|
| 4,746 |
| .09 |
|
|
|
|
|
|
|
|
|
|
|
|
|
74. |
| Chase Bank |
|
|
|
|
| (30,000 | ) | 0 |
| 0 |
|
|
|
|
|
|
|
|
|
|
|
|
|
75. |
| Louise B. & Edgar M. Cullman Foundation, Inc.* |
| Charitable |
|
|
|
|
| 105,740 |
| 2.11 |
|
|
|
|
|
|
|
|
|
|
|
|
|
76. |
| Edgar M. Cullman, III |
| 27 Great Jones St. Apt 3W New York, N.Y. 10012 |
| Producer |
| (7,535 | ) | 11,259 |
| .23 |
41
|
|
| (3) |
|
|
|
|
|
| |||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
| Number of shares |
| Total number of |
|
| ||
|
|
|
| and the name, principal |
| of Issuers |
| shares of the |
|
| ||
|
|
|
| business and address of any |
| Common Stock |
| Issuers Common |
|
| ||
(1) |
| (2) |
| corporation or other |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| organization in which such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15//2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
77. |
| Samuel B. Cullman |
| 304 Union Street Brooklyn, N.Y. 11231 |
| Film Director |
|
|
| 13,594 |
| .27 |
|
|
|
|
|
|
|
|
|
|
|
|
|
78. |
| FMD and RMD |
|
|
|
|
| 500 |
| 30,500 |
| .61 |
|
|
|
|
|
|
|
|
|
|
|
|
|
79. |
| MSG |
|
|
|
|
|
|
| 17,251 |
| .34 |
|
|
|
|
|
|
|
|
|
|
|
|
|
80. |
| MSG |
|
|
|
|
|
|
| 13,905 |
| .28 |
42
|
|
| (3) |
|
|
|
|
|
| |||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
| Number of shares |
| Total number of |
|
| ||
|
|
|
| and the name, principal |
| of Issuers |
| shares of the |
|
| ||
|
|
|
| business and address of any |
| Common Stock |
| Issuers Common |
|
| ||
(1) |
| (2) |
| corporation or other |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| organization in which such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
81. |
| David M. Danziger |
|
|
|
|
| 2,790 |
| 14,274 |
| .29 |
|
|
|
|
|
|
|
|
|
|
|
| .29 |
82. |
| David M. Danziger |
|
|
|
|
| 2,790 |
| 14,274 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
83. |
| Matthew Ernst |
|
|
|
|
|
|
| 200 |
| .004 |
|
|
|
|
|
|
|
|
|
|
|
|
|
84. |
| Matthew Ernst |
|
|
|
|
|
|
| 200 |
| .004 |
|
|
|
|
|
|
|
|
|
|
|
|
|
85. |
| Georgina Cullman (GDC) |
| 410 W. 24th St. Apt. 19a New York, N.Y. 10011 |
| Environmental Curator |
|
|
| 9,550 |
| .19 |
|
|
|
|
|
|
|
|
|
|
|
|
|
86. |
| SJD 2011 Trust |
|
|
|
|
| 10,000 |
| 25,000 |
| .50 |
|
|
|
|
|
|
|
|
|
|
|
|
|
87. |
| SLD 2011 Trust |
|
|
|
|
| 10,000 |
| 25,000 |
| .50 |
|
|
|
|
|
|
|
|
|
|
|
|
|
88. |
| AG, 2011 Trust |
|
|
|
|
| 10,000 |
| 25,000 |
| .50 |
|
|
|
|
|
|
|
|
|
|
|
|
|
89. |
| SG, 2011 Trust |
|
|
|
|
| 10,000 |
| 25,000 |
| .50 |
43
|
|
|
| (3) |
|
|
|
|
|
| ||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
|
|
|
|
|
| ||
|
|
|
| and the name, principal |
| Number of |
| Total number of |
|
| ||
|
|
|
| business and address of |
| shares |
| shares of the |
|
| ||
|
|
|
| any |
| of Issuers |
| Issuers |
|
| ||
|
|
|
| corporation or other |
| Common Stock |
| Common |
|
| ||
(1) |
| (2) |
| organization in which |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
90. |
| LCD, EMC, Jr. and SRC |
|
|
|
|
| 39,548 |
| 39,548 |
| .79 |
|
|
|
|
|
|
|
|
|
|
|
|
|
91. |
| Michael S. Gamzon (MSG) |
| Griffin Industrial Realty, Inc. President, Chief Executive Officer and Director 641 Lexington Avenue 26th floor New York, NY |
|
|
| 5,000 |
| 5,000 |
| .10 |
|
|
|
|
|
|
|
|
|
|
|
|
|
92. |
| DMD and GDC |
|
|
|
|
| 20,000 |
| 20,000 |
| .40 |
|
|
|
|
|
|
|
|
|
|
|
|
|
93. |
| LCD, SRC and EMC, Jr. Trustees u/w/o Joseph R. Cullman, Jr.* f/b/o LCD |
|
|
|
|
| 33,484 |
| 33,484 |
| .67 |
|
|
|
|
|
|
|
|
|
|
|
|
|
94. |
| LCD, SRC and EMC, Jr. |
|
|
|
|
| 25,482 |
| 25,482 |
| .51 |
44
|
|
|
| (3) |
|
|
|
|
|
| ||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
|
|
|
|
|
| ||
|
|
|
| and the name, principal |
| Number of |
| Total number of |
|
| ||
|
|
|
| business and address of |
| shares |
| shares of the |
|
| ||
|
|
|
| any |
| of Issuers |
| Issuers |
|
| ||
|
|
|
| corporation or other |
| Common Stock |
| Common |
|
| ||
(1) |
| (2) |
| organization in which |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
95. |
| LCD, SRC and EMC, Jr. u/w/o Joseph R. Cullman, Jr.* f/b/o SRC |
|
|
|
|
| 25,482 |
| 25,482 |
| .51 |
|
|
|
|
|
|
|
|
|
|
|
|
|
96. |
| FMD, LCD, DMD and RDG f/b/o LCD, DMD and Descendants |
|
|
|
|
| 8,265 |
| 8,265 |
| .17 |
|
|
|
|
|
|
|
|
|
|
|
|
|
97. |
| FMD, LCD, DMD and RDG f/b/o LCD, RDG and Descendants |
|
|
|
|
| 8,266 |
| 8,266 |
| .17 |
|
|
|
|
|
|
|
|
|
|
|
|
|
98. |
| EMC, Jr., EFC, EMC III SBC and GDC Trustees under Article 7th of Will of LBC* f/b/o EMC, Jr. and EMC III and Descendants |
|
|
|
|
| 3,323 |
| 3,323 |
| .07 |
|
|
|
|
|
|
|
|
|
|
|
|
|
99. |
| EMC, Jr., EFC, EMC III SBC and GDC |
|
|
|
|
| 3,323 |
| 3,323 |
| .07 |
45
|
|
|
| (3) |
|
|
|
|
|
| ||
|
|
|
| Present principal |
|
|
|
|
|
| ||
|
|
|
| occupation or employment |
|
|
|
|
|
| ||
|
|
|
| and the name, principal |
| Number of |
| Total number of |
|
| ||
|
|
|
| business and address of |
| shares |
| shares of the |
|
| ||
|
|
|
| any |
| of Issuers |
| Issuers |
|
| ||
|
|
|
| corporation or other |
| Common Stock |
| Common |
|
| ||
(1) |
| (2) |
| organization in which |
| acquired or |
| Stock ($1 par |
| Percentage of | ||
Name |
| Residence |
| such |
| disposed of since |
| value) owned on |
| Class of Issuers | ||
(Item 2(a) |
| Address |
| employment is conducted. |
| 2/15/2012 |
| the date hereof |
| Common Stock. | ||
and 5) |
| (Item 2(b)) |
| (Item 2(c)) |
| (i) |
| (ii) |
| (iii) | ||
100.. |
| EMC, Jr., EFC, EMC III SBC and GDC Trustees under Article 7th of Will of LBC* |
|
|
|
|
| 3,323 |
| 3,323 |
| .07 |
|
|
|
|
|
|
|
|
|
|
|
|
|
101. |
| SRC, CBS and JJK Trustees under Article 7th* f/b/o SRC |
|
|
|
|
| 9,969 |
| 9,969 |
| .20 |
|
|
|
|
|
|
|
|
|
|
|
|
|
102. |
| John J. Kirby |
| 88 Saddle Rock Road Stamford, CT 06902 |
| Retired Attorney |
| 1,000 |
| 1,000 |
| .02 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| (70,743 | ) | 2,326,709 |
| 46.53 |
* Unless otherwise indicated, the address of each person, trust or charitable foundation is 641 Lexington Avenue, New York, NY 10022.
46