<PAGE>
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1 )*
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APOGEE ENTERPRISES, INC.
------------------------
(Name of Issuer)
Common stock, par value of $.33-1/3 per share
---------------------------------------------
(Title of Class of Securities)
037598109
---------
(CUSIP Number)
Donald W. Goldfus, Trustee, Revocable Trust of Russell H. Baumgardner
Apogee Enterprises, Inc., 7900 Xerxes Ave. So., Ste. 1800, Minneapolis, MN 55431
- --------------------------------------------------------------------------------
(612) 835-1874
--------------
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
October 26, 1994
----------------
(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 13d-1 (a) for other parties to whom copies are to
be sent.
*The remainder of this cover page shall be filed 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).
(Continued on following page(s))
Page 1 of 8 Pages
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- ------------------- -------------------
CUSIP NO. 037598109 13D PAGE 2 OF 8 PAGES
- ------------------- -------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Revocable Trust of Russell H. Baumgardner
41-6280018
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUND*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
[ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Trust governed by the laws of Minnesota
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 1,283,614
---------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
---------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 1,283,614
---------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,283,614
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.56%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
00 (TRUST)
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
2
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- ----------------------- ---------------------
CUSIP NO. 13D PAGE 3 OF 8 PAGES
- ----------------------- ---------------------
- --------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Laurance J. Niederhofer
S.S. ####-##-####
- --------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
Trustee of Revocable Trust of Russell H. Baumgardner
- --------------------------------------------------------------------------------
SEC USE ONLY
3
- --------------------------------------------------------------------------------
SOURCE OF FUND*
4 00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
[ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- --------------------------------------------------------------------------------
NUMBER OF SOLE VOTING POWER
7
SHARES 289,641
-------------------------------------------------------------
BENEFICIALLY SHARED VOTING POWER
8
OWNED BY 1,573,255
-------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
-------------------------------------------------------------
PERSON SHARED DISPOSITIVE POWER
10
WITH 1,573,255
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
289,641
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.16%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
3
<PAGE>
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CUSIP NO. 13D PAGE 4 OF 8 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Donald W. Goldfus
S.S. ####-##-####
- ------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
Trustee of Revocable Trust of Russell H. Baumgardner
- ------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- ------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e)
[_]
- ------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- ------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 315,805
-----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 1,599,419
-----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING -----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
PERSON
1,599,419
WITH
- ------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
315,805
- ------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
- ------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.35%
- ------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
4
<PAGE>
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CUSIP NO. 13D PAGE 5 OF 8 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
O. Walter Johnson
S.S. ####-##-####
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
Trustee of Revocable Trust of Russell H.
Baumgardner
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUND*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
[ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 3,455
-------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 1,287,069
-------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
-------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 1,287,069
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,455
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.03%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
5
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SCHEDULE 13D
This is an amendment to the Schedule 13D filed by the Revocable Trust of Russell
H. Baumgardner ( the "Trust") on January 13, 1994. On October 26, 1994, the
Trust sold 920,000 shares of Common Stock, par value $.33 1/3 per share (the
"Common Stock"), of Apogee Enterprise, Inc. (the "Company"). The 920,000 shares
of Common Stock were sold pursuant to a Registration Statement, File No.
33-55635, filed by the Company on Form S-3 with the Securities and Exchange
Commission and declared effective on October 18, 1994. Prior to the sale, the
Trust owned 2,281,114 shares of Common Stock of the Company, or 16.4% of the
issued and outstanding shares of Common Stock. As a result of the sale, the
Trust is the owner of 1,283,614 shares of Common Stock, which is 9.56% of the
issued and outstanding shares of Common Stock.
ITEM 1. SECURITY AND ISSUER.
This statement relates to the Common Stock of the Company. The Company's
principal executive offices are located at 7900 Xerxes Avenue South, Suite 1800,
Minneapolis, Minnesota 55431. The principal executive officers of the Company
are Donald W. Goldfus, Gerald K. Anderson, Thomas N. Adamson, Larry Anderson,
Gary W. Haider, William G. Gardner, Richard Gould and James L. Martineau. The
address of the principal executive officers is 7900 Xerxes Avenue South, Suite
1800, Minneapolis, Minnesota 55431.
ITEM 2. IDENTITY AND BACKGROUND.
(a) - (c), (f) The Trust is a trust governed by the laws of Minnesota. The
addresses of the trustees of the Trust are set forth below.
(d) None.
(e) None.
The following table sets forth the names, business addresses, and
principal occupation of each trustee of the Trust:
NAME AND ADDRESS PRINCIPAL OCCUPATION
- ---------------- --------------------
Donald W. Goldfus Chairman of the Board of Directors
7900 Xerxes Avenue South and Chief Executive Officer of the
Suite 1800 Company
Minneapolis, MN 55431
Laurence J. Niederhofer Vice Chairman of the Board of
7900 Xerxes Avenue South Directors of the Company
Suite 1800
Minneapolis, MN 55431
O. Walter Johnson Chairman and Chief Executive
7900 Xerxes Avenue South Officer of Clutch & U-Joints, Inc.
Suite 1800
Minneapolis, MN 55431
6
<PAGE>
All of the trustees listed above are United States citizens. During the last
five years, no trustee has been convicted in a criminal proceeding (excluding
traffic violations or similar misdemeanors) nor has been a party to a civil
proceeding of a judicial or administrative body that resulted in a judgment,
decree or final order regarding violations of federal or state securities laws.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
The shares of Common Stock owned by the Trust previously have been reported by
Russell H. Baumgardner on Schedule 13G. The shares of Common Stock owned by the
Trust are now being reported directly by the Trust.
ITEM 4. PURPOSE OF TRANSACTION.
See Item 3.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
(a) Aggregate number of shares: 1,283,614 shares of Common Stock, $.33 1/3 par
value, are owned by the Trust. The shares owned by the Trust represent
9.56% of the shares outstanding.
(b) Number of shares with sole voting and disposition power: 1,283,614 shares
of Common Stock, $.33 1/3 par value.
(c) Transactions within the past 60 days: Sale of 920,000 shares of Common
Stock on October 26, 1994 as
described above.
(d) N/A
(e) N/A
The trustees share the power to vote or direct the vote and to dispose or direct
the disposition of all shares held by the Trust. Any additional shares of
Common Stock of the Company owned by individual trustees are listed on the Cover
Page relating to such trustee.
ITEMS 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER.
None with respect to the Trust other than the Trust Agreement.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
Exhibit A - Joint Filing Agreement
Exhibit B-1 - Power of Attorney - Laurence J. Niederhofer*
Exhibit B-2 - Power of Attorney - Donald W. Goldfus*
Exhibit B-3 - Power of Attorney - O. Walter Johnson*
* Incorporated by reference to Schedule 13D filed by the Trust on January 13,
1994
7
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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: November 17, 1994 REVOCABLE TRUST OF
RUSSELL H. BAUMGARDNER
By: /s/ Donald W. Goldfus
---------------------------------------
Donald W. Goldfus, Trustee
By: *
--------------------------------------
Laurence J. Niederhofer, Trustee
By: *
--------------------------------------
O. Walter Johnson, Trustee
By: /s/ Donald W. Goldfus
--------------------------------------
Donald W. Goldfus
*Attorney-in-fact
8
<PAGE>
EXHIBIT A
JOINT FILING AGREEMENT
The undersigned hereby agree that the statement on Amendment No. 1 to
Schedule 13D with respect to the Common Stock of Apogee Enterprises, Inc., a
Minnesota corporation, executed on November 17, 1994, is, and any amendments
thereto shall be, filed on behalf of each of us pursuant to and in accordance
with the provisions of Rule 13d-1(f) under the Securities Exchange Act of 1934.
Dated: November 17, 1994
THE REVOCABLE TRUST OF
RUSSELL H. BAUMGARDNER
By: /s/ Donald W. Goldfus
------------------------------------
Donald W. Goldfus, Trustee
By: *
------------------------------------
Laurence J. Niederhofer, Trustee
By: *
------------------------------------
O. Walter Johnson, Trustee
By: /s/ Donald W. Goldfus
------------------------------------
Donald W. Goldfus
*Attorney-in-fact
9