SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D. C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 5)
Modine Manufacturing Company
----------------------------
(Name of Issuer)
Current Members of the Administrative Committees of
Modine Manufacturing Company's Contributory Employee Stock
Ownership and Investment Plans:
Salaried Employees: Dave B. Spiewak, Roger L.
Hetrick; Dean R. Zakos; and alternates:
Donald G. Lautz and Laura O. Clampett
Hourly-Rate Non-Union Employees: Dave B. Spiewak,
Roger L. Hetrick; Dean R. Zakos; and alternates:
Donald G. Lautz and Laura O. Clampett
Hourly-Rate Union Employees: Dave B. Spiewak,
Roger L. Hetrick; Dean R. Zakos; and alternates:
Donald G. Lautz and Laura O. Clampett
----------------------------------------------------------
(Names of Persons Filing Statement)
Common Stock, par value $0.625 per share
----------------------------------------
(Title of Class of Securities)
607828-100
--------------
(CUSIP Number)
December 31, 1999
-------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
1(a)
<PAGE>
CUSIP No. 607828-100
--------------------
1) Names of Reporting Persons S. S. or I. R. S. Identification
Nos. of Above Persons
Dave B. Spiewak
----------------------
2) Check the Appropriate Box if a Member of a Group (See
Instructions)
(a) X
----------------
(b)
----------------
3) SEC Use Only
------------------------------------
4) Citizenship U.S.
----------------
Number of (5) Sole Voting Power 3,487*
Shares --------------------------
Bene- (MCESOIPS' ADMINISTRATIVE
ficially (6) Shared Voting Power 4,772,829 COMMITTEES)
Owned by --------------------------
Each (7) Sole Dispositive
Reporting Power 3,487*
Person --------------------------
With (MCESOIPS' ADMINISTRATIVE
(8) Shared Dispositive
Power 4,772,829 COMMITTEES)
--------------------------
9) Aggregate Amount Beneficially
Owned by Each Reporting Person 4,776,152*
--------------------------
10) Check if the Aggregate Amount in Row (9) Excludes Certain
Shares
----------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (9) 16.25%
---------
12) Type of Reporting Person (See Instructions) EP, IN (As a
-------------------------
member of the MCESOIPS' Administrative Committees and
---------------------------------------------------------------------
Individually)
---------------------------------------------------------------------
* The reported securities include units held in the Modine
401(k) Retirement Plan and Modine Deferred Compensation Plan.
Each Unit consists of Modine common stock and cash components.
1(b)
<PAGE>
CUSIP No. 607828-100
--------------------
1) Names of Reporting Persons S. S. or I. R. S. Identification
Nos. of Above Persons
R. L. Hetrick
----------------------
2) Check the Appropriate Box if a Member of a Group (See
Instructions)
(a) X
----------------
(b)
----------------
3) SEC Use Only
------------------------------------
4) Citizenship U.S.
----------------
Number of (5) Sole Voting Power 74,821*
Shares --------------------------
Bene- (MCESOIPS' ADMINISTRATIVE
ficially (6) Shared Voting Power 4,772,829 COMMITTEES)
Owned by --------------------------
Each (7) Sole Dispositive
Reporting Power 74,821*
Person --------------------------
With (MCESOIPS' ADMINISTRATIVE
(8) Shared Dispositive
Power 4,772,829 COMMITTEES)
--------------------------
9) Aggregate Amount Beneficially
Owned by Each Reporting Person 4,838,463*
--------------------------
10) Check if the Aggregate Amount in Row (9) Excludes Certain
Shares
----------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (9) 16.46%
---------
12) Type of Reporting Person (See Instructions) EP, IN (As a
-------------------------
member of the MCESOIPS' Administrative Committees and
---------------------------------------------------------------------
Individually)
---------------------------------------------------------------------
* The reported securities include units held in the Modine
401(k) Retirement Plan and Modine Deferred Compensation Plan.
Each Unit consists of Modine common stock and cash components.
1(c)
<PAGE>
CUSIP No. 607828-100
--------------------
1) Names of Reporting Persons S. S. or I. R. S. Identification
Nos. of Above Persons
D. R. Zakos
----------------------
2) Check the Appropriate Box if a Member of a Group (See
Instructions)
(a) X
----------------
(b)
----------------
3) SEC Use Only
------------------------------------
4) Citizenship U.S.
----------------
Number of (5) Sole Voting Power 52,201*
Shares --------------------------
Bene- (MCESOIPS' ADMINISTRATIVE
ficially (6) Shared Voting Power 4,772,829 COMMITTEES)
Owned by --------------------------
Each (7) Sole Dispositive
Reporting Power 52,201*
Person --------------------------
With (MCESOIPS' ADMINISTRATIVE
(8) Shared Dispositive
Power 4,772,829 COMMITTEES)
--------------------------
9) Aggregate Amount Beneficially
Owned by Each Reporting Person 4,818,489*
--------------------------
10) Check if the Aggregate Amount in Row (9) Excludes Certain
Shares
----------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (9) 16.40%
---------
12) Type of Reporting Person (See Instructions) EP, IN (As a
-------------------------
member of the MCESOIPS' Administrative Committees and
---------------------------------------------------------------------
Individually)
---------------------------------------------------------------------
* The reported securities include units held in the Modine
401(k) Retirement Plan and Modine Deferred Compensation Plan.
Each Unit consists of Modine common stock and cash components.
1(d)
<PAGE>
CUSIP No. 607828-100
--------------------
1) Names of Reporting Persons S. S. or I. R. S. Identification
Nos. of Above Persons
D. G. Lautz
----------------------
2) Check the Appropriate Box if a Member of a Group (See
Instructions)
(a) X
----------------
(b)
----------------
3) SEC Use Only
------------------------------------
4) Citizenship U.S.
----------------
Number of (5) Sole Voting Power 18,279*
Shares --------------------------
Bene- (MCESOIPS' ADMINISTRATIVE
ficially (6) Shared Voting Power 4,772,829 COMMITTEES)
Owned by --------------------------
Each (7) Sole Dispositive
Reporting Power 18,279*
Person --------------------------
With (MCESOIPS' ADMINISTRATIVE
(8) Shared Dispositive
Power 4,772,829 COMMITTEES)
--------------------------
9) Aggregate Amount Beneficially
Owned by Each Reporting Person 4,774,686*
--------------------------
10) Check if the Aggregate Amount in Row (9) Excludes Certain
Shares
----------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (9) 16.25%
---------
12) Type of Reporting Person (See Instructions) EP, IN (As a
-------------------------
member of the MCESOIPS' Administrative Committees and
---------------------------------------------------------------------
Individually)
---------------------------------------------------------------------
* The reported securities include units held in the Modine
401(k) Retirement Plan and Modine Deferred Compensation Plan.
Each Unit consists of Modine common stock and cash components.
1(e)
<PAGE>
CUSIP No. 607828-100
--------------------
1) Names of Reporting Persons S. S. or I. R. S. Identification
Nos. of Above Persons
L. O. Clampett
----------------------
2) Check the Appropriate Box if a Member of a Group (See
Instructions)
(a) X
----------------
(b)
----------------
3) SEC Use Only
------------------------------------
4) Citizenship U.S.
----------------
Number of (5) Sole Voting Power 5,413*
Shares --------------------------
Bene- (MCESOIPS' ADMINISTRATIVE
ficially (6) Shared Voting Power 4,772,829 COMMITTEES)
Owned by --------------------------
Each (7) Sole Dispositive
Reporting Power 5,413*
Person --------------------------
With (MCESOIPS' ADMINISTRATIVE
(8) Shared Dispositive
Power 4,772,829 COMMITTEES)
--------------------------
9) Aggregate Amount Beneficially
Owned by Each Reporting Person 4,773,053*
--------------------------
10) Check if the Aggregate Amount in Row (9) Excludes Certain
Shares
----------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (9) 16.24%
---------
12) Type of Reporting Person (See Instructions) EP, IN (As a
-------------------------
member of the MCESOIPS' Administrative Committees and
---------------------------------------------------------------------
Individually)
---------------------------------------------------------------------
* The reported securities include units held in the Modine
401(k) Retirement Plan and Modine Deferred Compensation Plan.
Each Unit consists of Modine common stock and cash components.
1(f)
<PAGE>
Item 1(a). Name of Issuer:
- --------- --------------
Modine Manufacturing Company
Item 1(b). Address of Issuer's Principal Executive Offices:
- --------- -----------------------------------------------
1500 DeKoven Avenue
Racine, WI 53403
Item 2(a). Name of Person Filing:
- --------- ---------------------
Modine Manufacturing Company's Contributory Employee
Stock Ownership and Investment Plans.
This statement is being filed by the members of the
Administrative Committees defined in Modine's
qualified Contributory Employee Stock Ownership Plan
Trust Agreement (the "MCESOP Trust") in their
capacities as members of the Administrative
Committees.
Item 2(b). Address of Principal Business Office, or, if none, Residence:
- --------- ------------------------------------------------------------
1500 DeKoven Avenue
Racine, WI 53403
Item 2(c). Citizenship:
- --------- -----------
U.S.A.
<PAGE>
Item 2(d). Title of Class of Securities:
- --------- ----------------------------
Common
Item 2(e). CUSIP Number:
- --------- ------------
607828-100
Item 3: If this statement is filed pursuant to Rule 13d-
- ------
1(b)(1) or 13d-2(b), check whether the person filing
is a:
(a) [ ] Broker or dealer registered under section 15 of the Act.
(b) [ ] Bank as defined in section 3(a)(6) of the Act.
(c) [ ] Insurance company as defined in section 3(a)(19) of
the Act.
(d) [ ] Investment Company registered under section 8 of the
Investment Company Act.
(e) [ ] Investment adviser registered under section 203 of
the Investment Advisers Act of 1940.
(f) [X] Employee benefit plan, pension fund which is
subject to the provisions of the Employee
Retirement Income Security Act of 1974 or
endowment fund; see section 240.13d-1(b)(1)(ii)(F).
---
<PAGE>
(g) [ ] Parent holding company, in accordance with
section 240.13d-1(b)(ii)(G).
(h) [ ] groups, in accordance with section
240.13d-1(b)(1)(ii)(H).
Item 4. Ownership: Provide the following information
- ------ ---------
regarding the aggregate number and percentage of the
class of securities of the issuer identified in
Item 1.
(a) Amount beneficially owned: See Pages 1(b), 1(c),
---
1(d), 1(e), and 1(f).
(b) Percent of class: See Pages 1(b), 1(c), 1(d), 1(e),
---
and 1(f).
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
See Pages 1(b), 1(c), 1(d), 1(e), and 1(f).
---
(ii) Shared power to vote or to direct the vote:
See Pages 1(b), 1(c), 1(d), 1(e), and 1(f).
---
(iii) Sole power to dispose or to direct the disposition of:
See Pages 1(b), 1(c), 1(d), 1(e), and 1(f).
---
<PAGE>
(iv) Shared power to dispose or to direct the disposition of:
See Pages 1(b), 1(c), 1(d), 1(e), and 1(f).
---
Item 5. Ownership of Five Percent or Less of a Class.
- ------ --------------------------------------------
If this statement is being filed to report the fact that
as of the date hereof the reporting person has ceased to
be the beneficial owner of more than five percent of the
class of securities, check the following [ ].
Item 6. Ownership of More than Five Percent on Behalf of
- ------ ------------------------------------------------
Another Person:
--------------
Not applicable.
Item 7. Identification and Classification of the Subsidiary
- ------
Which Acquired the Security Being Reported on By the
Parent Holding Company:
Not applicable.
Item 8. Identification and Classification of Members of the Group:
- ------ ---------------------------------------------------------
See attached exhibit.
---
Item 9. Notice of Dissolution of Group:
- ------ ------------------------------
Not applicable.
<PAGE>
Item 10. Certification:
- ------- -------------
By signing below I certify that, to the best of my
knowledge and belief, the securities referred to
above were acquired in the ordinary course of
business and were not acquired for the purpose of and
do not have the effect of changing or influencing the
control of the issuer of such securities and were not
acquired in connection with or as a participant in
any transaction having such purpose or effect.
Signature:
D. B. SPIEWAK February 11, 2000
- ------------------------------------------ -------------------
D. B. Spiewak, Treasurer and Date
member of the Administrative Committees
of the Salaried, Hourly-Rate Non-Union,
and Hourly-Rate Union Employees Plans.
R. L. HETRICK February 11, 2000
- ------------------------------------------ -------------------
R. L. Hetrick, Vice President - Human Date
Resources, and member of the
Administrative Committees of the
Salaried, Hourly-Rate Non-Union, and
Hourly-Rate Union Employees Plans.
D. R. ZAKOS February 11, 2000
- ------------------------------------------ -------------------
D. R. Zakos, Associate General Counsel Date
and Assistant Secretary, and member of
the Administrative Committee of the
Salaried, Hourly-Rate Non-Union and
Hourly-Rate Union Employees Plans.
D. G. LAUTZ February 11, 2000
- ------------------------------------------ -------------------
D. G. Lautz, Senior Counsel and Date
alternate member of the Administrative
Committees of the Salaried, Hourly-Rate
Non-Union, and Hourly-Rate Union
Employees Plans.
<PAGE>
LAURA O. CLAMPETT February 11, 2000
- ------------------------------------------ -------------------
Laura O. Clampett, Director, Compensation Date
and Benefits and alternate member of the
Administrative Committees of the Salaried;
Hourly-Rate Non-Union and Hourly-Rate
Union Employees Plans.
<PAGE>
APPENDIX A
This statement is being filed by members of the Administrative
Committees of Modine's Contributory Stock Purchase and Investment
Plans in their capacities as Administrative Committee members.
D. B. Spiewak: Mr. Spiewak is Treasurer of Modine, and
member of the Administrative Committees
of the Salaried, Hourly-Rate Non-Union and
Hourly-Rate Union Employees Plans.
R. L. Hetrick: Mr. Hetrick is Vice President, Human
Resources, and member of the
Administrative Committees of the Salaried,
Hourly-Rate Non-Union and Hourly-Rate
Union Employees Plans.
D. R. Zakos: Mr. Zakos is Associate General Counsel and
Assistant Secretary and a member of the
Administrative Committee of the Salaried,
Hourly-Rate Non-Union and Hourly-Rate
Union Employees Plan.
D. G. Lautz: Mr. Lautz is Senior Counsel of Modine, and
an alternate member of the Administrative
Committees of the Salaried, Hourly-Rate
Non-Union and Hourly-Rate Union Employees
Plans.
Laura O. Clampett: Ms. Clampett is Director of Compensation
and Benefits; and an alternate member of
the Administrative Committees of the
Salaried, Hourly-Rate Non-Union and
Hourly-Rate Union Employees Plans.
The business address for Messrs. Spiewak, Hetrick, Zakos, and
Lautz, and Ms. Clampett and Modine Manufacturing Company is
1500 DeKoven Avenue, Racine, Wisconsin 53403. Modine
Manufacturing Company is a manufacturer of heat-transfer
products.
<PAGE>
