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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 8)*
Dow Jones & Company, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Class B Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
260561204
- --------------------------------------------------------------------------------
(CUSIP Number)
Frederic J. Marx, Esquire, c/o Hemenway & Barnes
60 State Street, Boston, MA 02109
Tel. (617) 227-7940
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive
Notices and Communications)
December 31, 1997
-------------------------------------------------------------
(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 which 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 [_].
Check the following box if a fee is being paid with the statement [_]. (A fee
is not required only if the reporting person: (1) has a previous statement on
file reporting beneficial ownership of more than five percent of the class of
securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such class.)
(See Rule 13d-7.)
NOTE: Six copies of this statement, including all exhibits, should be filed
with the Commission. See Rule 13-d1(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).
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SCHEDULE 13D
- ----------------------- ---------------------
CUSIP NO. 260561204 PAGE 2 OF 8 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Roy A. Hammer
Soc. Sec. No. ###-##-####
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [_]
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SEC USE ONLY
3
Not applicable; ownership acquired by appointment as a trustee of trusts
holding shares reported below.
- ------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
5 PURSUANT TO ITEMS 2(d) or 2(e) [_]
United States of America
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CITIZENSHIP OR PLACE OF ORGANIZATION
6
0
- ------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF
0
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
8,446,734
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 0
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10 8,446,734
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
See Item 8 above.
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12 [_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
39.18
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
00-co-trustee
- ------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
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SCHEDULE 13D
------------
Item 1. Security and Issuer.
- ------- -------------------
Class B Common Stock, Dow Jones & Company, Inc., World Financial
Center, 200 Liberty Street, New York, New York 10007
Item 2. Identity and Background.
- ------- -----------------------
a. Roy A. Hammer, Esq.
b. c/o Hemenway & Barnes, 60 State Street, Boston, MA 02109
c. Attorney and professional fiduciary at Hemenway & Barnes, 60
State Street, Boston, Massachusetts 02109-1899
d. No such conviction
e. Not a party to any such proceeding
f. United States
Item 3. Source of and Amount of Funds or Other consideration.
- ------ ----------------------------------------------------
Securities were not purchased. The undersigned acquired the shares in
his capacity as co-trustee upon being appointed a co-trustee for
trusts holding the shares.
Item 4. Purpose of Transaction.
- ------- ----------------------
The undersigned was appointed to fill vacancies in trusteeships with
no objective other than to carry out the terms of the respective
trusts. There are no plans or proposals as described in (a)-(j) of
the instructions to Item 4. Securities of the issuer may from time to
time be acquired or disposed of in the ordinary course of carrying out
the terms of the several trusts.
Item 5. Interest in Securities of the Issuer.
- ------- ------------------------------------
a. See items 11 and 13 of the cover page.
b. (1) The undersigned shares the voting and dispositive power as a
co-trustee over 8,446,734 shares of the issuer's stock with
the following persons:
(A) With Lawrence T. Perera and Christopher Bancroft over
3,477,000 shares of stock;
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(B) With Jane C. MacElree over 1,490,400 shares of stock;
(C) With Ann C. Bartram and Steven Bartram over 71,584
shares of stock;
(D) With Kurt F. Somerville over 6,800 shares of stock;
(E) With Bayne Stevenson, Elizabeth Steele and Rhoderick B.
MacLeod over 1,371,696 shares of stock;
(F) With Martha S. Robes, Jean B. Stevenson, Elizabeth
Steele and Rhoderick B. MacLeod over 8,500 shares of
stock;
(G) With George T. Shaw, Jane C. MacElree and William C.
Cox, Jr. over 256,333 shares of stock;
(H) With Michael J. Puzo, Jane C. MacElree, William C. Cox,
Jr. and Martha W. Cox over 24,700 shares of stock;
(I) With Heidi Cox over 71,433 shares of stock;
(J) With Deborah J. Hall and Martha W. Cox over 27,130
shares of stock;
(K) With Deborah J. Hall and William C. Cox, Jr. over
207,440 shares;
(L) With Martha C. Farrell and Thomas V. Farrell, Jr. over
72,037 shares;
(M) With George T. Shaw over 59,449 shares;
(N) With State Street Bank and Trust Company and Michael B.
Elefants over 45,700 shares; and
(O) With State Street Bank and Trust Company over 1,256,512
shares.
(2) (A) (i) Ann C. Bartram;
(ii) c/o Hemenway & Barnes, 60 State Street, Boston,
MA 02109;
(iii) housewife;
(iv) no such conviction;
(v) not a party to any such
proceedings; and
(vi) United States.
(B) (i) Steven Bartram;
(ii) c/o Hemenway & Barnes, 60 State Street, Boston,
MA 02109;
(iii) staff member of urban
environmental organization;
<PAGE>
(iv) no such conviction;
(v) not a party to any such proceedings; and
(vi) United States.
(C) (i) Elizabeth Steele;
(ii) c/o Hemenway & Barnes, 60 State Street, Boston,
MA 02109;
(iii) real estate developer;
(iv) no such conviction;
(v) not a party to any such proceeding; and
(vi) United States.
(D) (i) Rhoderick B. MacLeod;
(ii) MacLeod & McGuinness, P.A., 1800 Second Street,
Suite 750, Sarasota, FL 34236;
(iii) attorney;
(iv) no such conviction;
(v) not a party to any such proceeding; and
(vi) United States.
(E) (i) Martha S. Robes;
(ii) c/o Hemenway & Barnes, 60 State Street, Boston,
MA 02109;
(iii) former director (now retired), Dow
Jones & Company, Inc., World
Financial Center, 200 Liberty
Street, New York, New York 10007;
(iv) no such conviction;
(v) not a party to any such proceeding; and
(vi) United States.
(F) (i) William C. Cox, Jr.;
(ii) c/o Hemenway & Barnes, 60 State Street, Boston,
MA 02109;
(iii) retired;
(iv) no such conviction;
(v) not a party to any such
proceeding; and
(vi) United States.
(G) (i) Heidi Cox;
(ii) c/o Hemenway & Barnes, 60 State Street, Boston,
MA 02109;
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(iii) volunteer;
(iv) no such conviction;
(v) not a party to any such
proceeding; and
(vi) United States.
(H) (i) Jean B. Stevenson;
(ii) c/o Hemenway & Barnes, 60 State Street, Boston,
MA 02109;
(iii) decorator;
(iv) no such conviction;
(v) not a party to any such
proceeding; and
(vi) United States.
(I) (i) Bayne Stevenson;
(ii) c/o Batson Company, P.O. Box 929, 37 South Main
Street, Hanover, NH 03755;
(iii) real estate developer, Batson
Company, P.O. Box 929, 37 South
Main Street, Hanover, NH 03755;
(iv) no such conviction;
(v) not a party to any such
proceeding; and
(vi) United States.
(J) (i) Martha W. Cox;
(ii) c/o Hemenway & Barnes, 60 State Street, Boston,
MA 02109;
(iii) none;
(iv) no such conviction;
(v) not a party to any such
proceeding; and
(vi) United States.
(K) (i) Martha C. Farrell;
(ii) c/o Hemenway & Barnes, 60 State Street, Boston,
MA 02109;
(iii) housewife;
(iv) no such conviction;
(v) not a party to such proceeding; and
(vi) United States.
(L) (i) Thomas V. Farrell, Jr.
<PAGE>
(ii) c/o Hemenway & Barnes, 60 State Street, Boston,
MA 02109;
(iii) model;
(iv) no such conviction;
(v) not a party to any such proceeding; and
(vi) United States.
(M) (i) State Street Bank and Trust
Company;
(ii) 225 Franklin Street, Boston, MA
02109;
(iii) Principal business is banking and
trust management;
(iv) no such conviction;
(v) not a party to any such
proceeding; and
(vi) Organized under the laws of the
Commonwealth of Massachusetts.
(N) (i) Jane C. MacElree;
(ii) c/o Hemenway & Barnes, 60 State Street, Boston,
MA 02109;
(iii) none;
(iv) no such conviction;
(v) not a party to any such
proceeding; and
(vi) United States.
(O) (i) Christopher Bancroft;
(ii) c/o Hemenway & Barnes, 60 State Street,
Boston, MA 02109;
(ii) director, Dow Jones & Company, Inc.;
(iv) no such conviction;
(iii) not a party to any such proceeding; and
(iv) United States.
(P) (i) Lawrence T. Perera; Esq., Kurt F.
Somerville, Esq., George T. Shaw Esq. and
Michael B. Elefante, Esq.;
(ii) Hemenway & Barnes, 60 State
Street, Boston, MA 02109-1899;
(v) attorney and professional
<PAGE>
fiduciary;
(iv) no such conviction;
(v) not a party to any such
proceeding; and
(vi) United States.
c. None.
d. The governing instruments of the several trusts direct the
trustees as to the payment of income and/or principal to and
among certain designated beneficiaries. No beneficiary has a
right to receive dividends from or proceeds from the sale of
securities except as provided in the applicable governing
instrument.
e. Not applicable.
Item 6. Contracts, Arrangements, etc.
- ------- -----------------------------
There are no such contracts, arrangements, understandings or
relationships, except for the legal responsibilities of the
undersigned and his co-trustees to act together in carrying out the
terms of the applicable governing instruments.
Item 7. Materials to be Filed as Exhibits.
- ------- ---------------------------------
There are no relevant materials to be filed herewith.
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.
/s/ Roy A. Hammer
-----------------------------
Roy A. Hammer
March 17, 1998
