UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 4)*
Farrel Corporation
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(Name of Issuer)
Common Stock, $0.01 par value
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(Title of Class of Securities)
311-667-109
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(CUSIP Number)
*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 the
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).
Page 1 of 5
<PAGE>
CUSIP No. 311-667-109 13G PAGE 2 of 5 Pages
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
Rolf K. Liebergesell
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
Not applicable (b) [ ]
3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
5 SOLE VOTING POWER
2,806,412*
* Includes 240,000 shares subject to options
under the Issuer's 1992 Stock Option Plan, as to which
Mr. Liebergesell had a right to acquire beneficial
ownership within 60 days of December 31, 1996, and
excludes 82,000 shares held by Mr. Liebergesell's wife
as trustee of a trust for the benefit of the adult
children of Mr. Liebergesell as to which Mr.
NUMBER OF Liebergesell disclaims beneficial ownership.
SHARES
BENEFICIALLY
OWNED BY
EACH 6 SHARED VOTING POWER
REPORTING
PERSON 59,500*
WITH
* Represents shares held by a nonprofit
corporation of which Mr. Liebergesell is a member
of the Board of Directors.
7 SOLE DISPOSITIVE POWER
2,806,412*
* Includes 240,000 shares subject to options under
the Issuer's 1992 Stock Option Plan, as to which Mr.
Liebergesell had a right to acquire beneficial
ownership within 60 days of December 31, 1996, and
excludes 82,000 shares held by Mr. Liebergesell's wife
as trustee of a trust for the benefit of the adult
children of Mr. Liebergesell as to which Mr.
Liebergesell disclaims beneficial ownership.
8 SHARED DISPOSITIVE POWER
59,500*
* Represents shares held by a nonprofit
corporation of which Mr. Liebergesellis a member
of the Board of Directors.
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,865,912
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[X]
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
46.2%
12 TYPE OF REPORTING PERSON*
IN
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
Page 3 of 5
Item 1(a) NAME OF THE ISSUER:
Farrel Corporation
Item 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
25 Main Street, Ansonia, Connecticut 06401
Item 2(a) NAME OF PERSON FILING:
Rolf K. Liebergesell
Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE:
25 Main Street, Ansonia, Connecticut 06401
Item 2(c) CITIZENSHIP:
United States of America
Item 2(d) TITLE OF CLASS OF SECURITIES:
Common Stock, par value $.01
Item 2(e) CUSIP NUMBER:
311-667-109
Item 3 Not Applicable
Item 4 OWNERSHIP AS OF DECEMBER 31, 1996:
(a) Amount Beneficially Owned 2,865,912
(b) Percent of Class 46.2%
<PAGE>
Page 4 of 5
(c) Number of Shares as to which such person has:
(i) sole power to vote or direct the vote: 2,806,412*
(ii) shared power to vote or direct the vote: 59,500**
(iii) sole power to dispose of or to direct
the disposition of: 2,806,412*
(iv) shared power to dispose of or to direct
the disposition of: 59,500**
* Includes 240,000 shares subject to options under the Issuer's 1992
Stock Option Plan, as to which Mr. Liebergesell had a right to
acquire beneficial ownership within 60 days of December 31, 1996,
and excludes 82,000 shares held by Mr. Liebergesell's wife as trustee
of a trust for the benefit of the adult children of Mr. Liebergesell
as to which Mr. Liebergesell disclaims beneficial ownership.
** Represents shares held by a nonprofit corporation of which Mr.
Liebergesell is a member of the Board of Directors.
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:
A nonprofit corporation has the right to receive, or the power
to direct the receipt of, dividends from, or the proceeds from
the sale of 59,500 shares reported as beneficially owned by Mr.
Liebergesell herein.
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
<PAGE>
Page 5 of 5
Item 9 Notice of Dissolution of Group:
Not Applicable
Item 10 Certification:
Not Applicable
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.
February 12, 1997
/s/ Rolf K. Liebergesell
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Signature: Rolf K. Liebergesell
