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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. __)*
HARDINGE INC.
(Name of Issuer)
Common Stock, Par Value $.01
(Title of Class of Securities)
412324 30 3
(CUSIP Number)
Richard L. Simons, Executive Vice President and Chief Financial Officer
Hardinge Inc., One Hardinge Drive, P.O. Box 1507,
Elmira, NY 14902-1507, Telephone: (607) 734-2281,
with a copy to J. Philip Hunter, Esq., Sayles & Evans,
One West Church Street, Elmira, NY 14901;
Telephone: (607) 734-2271
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
June 8, 2000
(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 Sections 240.13d-1(e), 240.13d-1(f) or
240.13d-1(g), check the following box. ___
NOTE: Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. See Section 240.13d-7
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
"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 5 Pages
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB control number.
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CUSIP No. 412324 30 3
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1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Richard L. Simons S.S.# ###-##-####
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
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3. SEC USE ONLY
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4. SOURCE OF FUNDS*
Not Applicable
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5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
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6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
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7. SOLE VOTING POWER
NUMBER OF
76,816
SHARES -----------------------------------------------------------------
8. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 383,886
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EACH 9. SOLE DISPOSITIVE POWER
REPORTING
76,816
PERSON -----------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH
383,886
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11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
460,702
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12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
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13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.18%
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14 TYPE OF REPORTING PERSON*
IN
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Page 2 of 5 Pages
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SCHEDULE 13D
ITEM 1. SECURITY AND ISSUER:
Common Stock, Par Value $.01 ("Shares")
Hardinge Inc.
One Hardinge Drive
P.O. Box 1507
Elmira, New York 14902
ITEM 2. IDENTITY AND BACKGROUND:
(a) NAME
Richard L. Simons
(b) BUSINESS ADDRESS
One Hardinge Drive
P.O. Box 1507
Elmira, NY 14902-1507
(c) PRESENT PRINCIPAL OCCUPATION
Executive Vice President and
Chief Financial Officer
(d, e) LEGAL PROCEEDINGS
None
(f) CITIZENSHIP
U.S.A. - State of New York
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION:
Richard L. Simons has acquired shares of Hardinge Inc. common stock
from time to time under various executive incentive stock plans of the
Issuer, with personal funds and as co-trustee of the Hardinge Inc. Pension
Plan, a tax-qualified defined benefit plan. As of the date hereof, 20,309
shares are owned individually; 55,300 shares are owned beneficially subject
to various restrictions contained in restricted stock agreements with the
Issuer; 1,207 shares are held for Mr. Simons's account in the Issuer's
Savings Plan; and 383,886 shares are held as co-trustee of a trust under
the Hardinge Inc. Pension Plan, a tax-qualified defined benefit plan.
Page 3 of 5 Pages
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ITEM 4. PURPOSE OF TRANSACTION:
Richard L. Simons's recent purchases of the Issuer's common stock for
the account of the Issuer's Pension Plan in his capacity as co-trustee
thereof are for investment purposes only. Such purchases when combined with
Hardinge Inc.'s repurchases of Hardinge shares have caused Mr. Simons's
ownership to exceed 5%. Mr. Simons has no plans to cause a change of
control of Hardinge Inc. or to take any other action enumerated in Item 4
of Schedule 13D.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER:
(a) AGGREGATE NUMBER AND PERCENTAGE OWNED
460,702, 5.18% based on 8,886,871 shares outstanding on June 30, 2000
as reported by the Issuer.
(b) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:
<TABLE>
<S> <C>
(i) sole power to vote or to direct the vote 76,816
(ii) shared power to vote or to direct the vote 383,886
(iii) sole power to dispose or to direct the
disposition of 76,816
(iv) shared power to dispose or to direct the
disposition of 383,886
</TABLE>
(c) TRANSACTIONS DURING PAST SIXTY DAYS:
NONE
(d) RIGHTS OF ANY OTHER PERSONS TO OWNED SHARES:
Under the Hardinge Inc. Pension Plan, Mr. Simons shares the power to
vote and dispose of 383,886 shares with his co-trustee, Robert E. Agan. The
Pension Plan participants (one of whom is Mr. Simons) indirectly have the
right to the dividends received from, and the proceeds of the sale of, such
shares. No shares under said Plan are specifically allocated to Plan
participants.
Mr. Simons is aware of other persons with the right to receive or the
power to direct and receive dividends from or the proceeds of the sale of,
Shares, but to the best knowledge of Mr. Simons, none of such persons
beneficially own more than 5% of the outstanding Shares, except those
disclosed in the Issuer's most recent proxy statement and in one Schedule
13D filed since the filing date of said proxy statement.
Page 4 of 5 Pages
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(e) DATE UPON WHICH CEASED TO BE 5% BENEFICIAL OWNER:
Not Applicable
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER:
383,886 Shares are held in trust by Robert E. Agan and Richard L.
Simons, as trustees under a trust agreement pursuant to the provisions of
the Hardinge Inc. Pension Plan. Mr. Simons shares the power to vote and
dispose of said shares with his co-trustee pursuant to the terms of said
Plan.
ITEM 7. MATERIAL TO BE FILED AS EXHIBIT:
None
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.
Dated: October 27, 2000
Signature: /s/ Richard L. Simons
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Name: Richard L. Simons
Page 5 of 5 Pages
