<PAGE>
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13D
Under the Securities Exchange Act of 1934
(Amendment No._____)*
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)
January 5, 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 /X/. (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 2,281,114
----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 2,281,114
----------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH
================================================================================
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,281,114
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/_/
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
17.127%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
00 (TRUST)
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
CUSIP NO. 13D PAGE 3 OF 8 PAGES
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Laurance J. Niederhofer
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 290,725
----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,289,072
----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
----------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 2,289,072
================================================================================
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
290,725
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/_/
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.18%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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 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 331,237
----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,281,114
----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
----------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 2,281,114
================================================================================
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
331,237
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/_/
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.49%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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 2,383
----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 2,281,114
----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
----------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 2,218,114
================================================================================
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,383
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/_/
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.02%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
SCHEDULE 13D
On January 5, 1994, Russell H. Baumgardner died. During his lifetime,
Baumgardner, as the settlor of the Revocable Trust of Russell H. Baumgardner
("Revocable Trust"), had the right to revoke the trust, to vote the stock of any
corporation held in the trust and to direct all investments of trust assets.
The Revocable Trust owned 2,281,114 shares of Common Stock, par value $.33 1/3
per share (the "Common Stock"), of Apogee Enterprises, Inc. (the "Company")
prior to Mr. Baumgardner's death and continues to own such 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 Gary W. Haider, Gerald K. Anderson, Larry Anderson, Donald W. Goldfus,
William G. Gardner, Thomas N. Adamson 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 Revocable Trust is a trust governed by the laws of
Minnesota. The addresses of the trustees of the Revocable 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 Revocable 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
Page 6 of 8 Pages
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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 Revocable Trust previously have been
reported by Russell H. Baumgardner on Schedule 13G. The shares of Common Stock
owned by the Revocable Trust are now being reported directly by the Revocable
Trust.
ITEM 4. PURPOSE OF TRANSACTION.
- -------------------------------
See Item 3.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
- ---------------------------------------------
(a) Aggregate number of shares: 2,281,114 shares of Common Stock, $.33 1/3 par
value, are owned by the Revocable Trust. The shares owned by the Revocable
Trust represent 17.127% of the shares outstanding.
(b) Number of shares with sole voting and disposition power: 2,281,114 shares
of Common Stock, $.33 1/3 par value.
(c) Transactions within the past 60 days: None.
(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 Revocable Trust other than the Revocable 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
Page 7 of 8 Pages
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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: January 13, 1994 REVOCABLE TRUST OF
RUSSELL H. BAUMGARDNER
By: Donald W. Goldfus
----------------------------------------
Donald W. Goldfus, Trustee
By: Laurence J. Niederhofer
----------------------------------------
Laurence J. Niederhofer, Trustee
By: O. Walter Johnson
----------------------------------------
O. Walter Johnson, Trustee
page 8 of 8 Pages
<PAGE>
EXHIBIT A
JOINT FILING AGREEMENT
The undersigned hereby agree that the statement on Schedule 13D with
respect to the Common Stock of Apogee Enterprises, Inc., a Minnesota
corporation, executed on January 13, 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: January 13, 1994
THE REVOCABLE TRUST OF
RUSSELL H. BAUMGARDNER
By Laurence J. Niederhofer
------------------------------------------
Laurence J. Niederhofer, Trustee
By Donald W. Goldfus
------------------------------------------
Donald W. Goldfus, Trustee
By O. Walter Johnson
------------------------------------------
O. Walter Johnson, Trustee
<PAGE>
EXHIBIT B-1
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and
appoints Donald W. Goldfus and O. Walter Johnson, or any of them, his true and
lawful attorney-in-fact and agent, with full power of substitution and
resubstitution, in any and all capacities, to sign a Schedule 13D and any
amendments thereto with respect to securities of Apogee Enterprises, Inc.
beneficially owned by the undersigned, and to file the same, with all exhibits
thereto and other documents in connection therewith, with the Securities and
Exchange Commission, and hereby ratifies and confirms all that said attorney-in-
fact and agent, or her substitutes, may lawfully do or cause to be done by
virtue hereof.
IN WITNESS WHEREOF, this Power of Attorney has been executed on the 13th
day of January, 1994, by the undersigned:
Laurence J. Niederhofer
-----------------------------------------
Laurence J. Niederhofer
<PAGE>
EXHIBIT B-2
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and
appoints Laurence J. Niederhofer and O. Walter Johnson, or any of them, his true
and lawful attorney-in-fact and agent, with full power of substitution and
resubstitution, in any and all capacities, to sign a Schedule 13D and any
amendments thereto with respect to securities of Apogee Enterprises, Inc.
beneficially owned by the undersigned, and to file the same, with all exhibits
thereto and other documents in connection therewith, with the Securities and
Exchange Commission, and hereby ratifies and confirms all that said attorney-in-
fact and agent, or her substitutes, may lawfully do or cause to be done by
virtue hereof.
IN WITNESS WHEREOF, this Power of Attorney has been executed on the 13th
day of January, 1994, by the undersigned:
Donald W. Goldfus
-----------------------------------------
Donald W. Goldfus
<PAGE>
EXHIBIT B-3
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and
appoints Laurence J. Niederhofer and Donald W. Goldfus, or any of them, his true
and lawful attorney-in-fact and agent, with full power of substitution and
resubstitution, in any and all capacities, to sign a Schedule 13D and any
amendments thereto with respect to securities of Apogee Enterprises, Inc.
beneficially owned by the undersigned, and to file the same, with all exhibits
thereto and other documents in connection therewith, with the Securities and
Exchange Commission, and hereby ratifies and confirms all that said attorney-in-
fact and agent, or her substitutes, may lawfully do or cause to be done by
virtue hereof.
IN WITNESS WHEREOF, this Power of Attorney has been executed on the 13th
day of January, 1994, by the undersigned:
O. Walter Johnson
-----------------------------------------
O. Walter Johnson