<PAGE>
OMB APPROVAL
OMB Number:3235-0145
Expires:December 31, 1997
Estimated average burden
hours per form 14.90
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)
Simpson Manufacturing Co., Inc.
(Name of Issuer)
Common Stock
- ---------------------------------------------------------------------------
(Title of Class of Securities)
829073105
(CUSIP Number)
Christina M. O'Brien, Esq.
Shartsis Friese & Ginsburg, LLP
One Maritime Plaza, 18th Floor
San Francisco, CA 94111
(415) 421-6500
- ---------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices
and Communications)
October 18, 1996
(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 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 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).
SEC 1746 (12-91)
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 2 of 20 Pages
- ---------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Barclay Simpson
- ---------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- ---------------------------------------------------------------------------
3 SEC USE ONLY
- ---------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- ---------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) / /
- ---------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ---------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 254,225
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 6,279,055
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 254,225
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
6,279,055
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,533,280
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
57.1
- ---------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- ---------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 3 of 20 Pages
- ---------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Simpson Investment Company
- ---------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- ---------------------------------------------------------------------------
3 SEC USE ONLY
- ---------------------------------------------------------------------------
4 SOURCE OF FUNDS*
OO
- ---------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) / /
- ---------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
- ---------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 6,179,055
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 0
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
6,179,055
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,179,055
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
54
- ---------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
- ---------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 4 of 20 Pages
- ---------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Dr. John B. Simpson
- ---------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- ---------------------------------------------------------------------------
3 SEC USE ONLY
- ---------------------------------------------------------------------------
4 SOURCE OF FUNDS*
OO
- ---------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) / /
- ---------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ---------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 16,500
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 16,500
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
16,500
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.1
- ---------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- ---------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 5 of 20 Pages
- ---------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Anne Simpson Gattis
- ---------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- ---------------------------------------------------------------------------
3 SEC USE ONLY
- ---------------------------------------------------------------------------
4 SOURCE OF FUNDS*
OO
- ---------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) / /
- ---------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ---------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 16,500
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 16,500
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
16,500
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.1
- ---------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- ---------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 6 of 20 Pages
- ---------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Jean D. Simpson
- ---------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- ---------------------------------------------------------------------------
3 SEC USE ONLY
- ---------------------------------------------------------------------------
4 SOURCE OF FUNDS*
OO
- ---------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) / /
- ---------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ---------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 16,500
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 16,500
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
16,500
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.1
- ---------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- ---------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 7 of 20 Pages
- ---------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Jeffrey Philip Gainsborough
- ---------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- ---------------------------------------------------------------------------
3 SEC USE ONLY
- ---------------------------------------------------------------------------
4 SOURCE OF FUNDS*
OO
- ---------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) / /
- ---------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ---------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 6,600
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 6,600
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,600
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.1
- ---------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- ---------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 8 of 20 Pages
- ---------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Julie Marie Simpson
- ---------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- ---------------------------------------------------------------------------
3 SEC USE ONLY
- ---------------------------------------------------------------------------
4 SOURCE OF FUNDS*
OO
- ---------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) / /
- ---------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ---------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 6,600
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 6,600
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,600
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.1
- ---------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- ---------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 9 of 20 Pages
- ---------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Elizabeth Simpson Murray
- ---------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- ---------------------------------------------------------------------------
3 SEC USE ONLY
- ---------------------------------------------------------------------------
4 SOURCE OF FUNDS*
OO
- ---------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) / /
- ---------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ---------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 6,600
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 6,600
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,600
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.1
- ---------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- ---------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 10 of 20 Pages
- ---------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Amy Catherine Simpson
- ---------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/
(b) / /
- ---------------------------------------------------------------------------
3 SEC USE ONLY
- ---------------------------------------------------------------------------
4 SOURCE OF FUNDS*
OO
- ---------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) / /
- ---------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ---------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 6,600
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 6,600
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,600
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.1
- ---------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- ---------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 11 of 20 Pages
ITEM 1. SECURITY AND ISSUER.
This statement relates to shares of Common Stock (the "Stock") of Simpson
Manufacturing Co., Inc., a California corporation ("SMCO"). The principal
executive office of SMCO is located at 4637 Chabot Drive, Suite 200, P.O.
Box 10789, Pleasanton, California 94588.
ITEM 2. IDENTITY AND BACKGROUND.
The persons filing this statement and the persons enumerated in Instruction
C of Schedule 13D and, where applicable, their respective places of
organization, general partners, directors, executive officers and
controlling persons, and the information regarding them, are as follows:
(a) Simpson Investment Company, a California general partnership
("SIC"), Barclay Simpson, Dr. John B. Simpson, Anne Simpson Gattis, Jean D.
Simpson, Jeffrey Philip Gainsborough, Julie Marie Simpson, Elizabeth Simpson
Murray and Amy Catherine Simpson.
(b) SIC and Barclay Simpson have the same business address which is
listed in Item 1 above. Dr. John B. Simpson's business address is 50
Communications, DS-65, Seattle, WA 98195. Jean D. Simpson's business
address is 746 Grand Avenue, Oakland, CA 94610. Jeffrey Philip
Gainsborough's business address is 13101 Northwest Freeway, Suite 120,
Houston, TX 77040-6309. Julie Marie Simpson's business address is 126 Fifth
Avenue, New York, NY 10011. Amy Catherine Simpson's business address is 907
Tahoe Boulevard, Incline Village, NV 89450. Elizabeth Simpson Murray's
residence address is 11772 Sunset Boulevard, Los Angeles, CA 90049. Anne
Simpson Gattis' residence address is 29 Charles Hill Road, Orinda, CA 94563.
(c) The principal occupation of Barclay Simpson is Chairman of the
Board of Directors of SMCO. See Item 1 above for the address of SMCO. SIC
is a family partnership engaged in investment activities. The other
reporting persons herein are the partners of SIC. Barclay Simpson is the
managing general partner of SIC and the father of the other reporting
persons. Dr. John B. Simpson is the Dean of Letters and Science at the
University of Washington. Jean D. Simpson is a resource specialist at the
Oakland Unified School District. Jeffrey Philip Gainsborough is the vice
president of Corporate Lending for Sterling Capital Mortgage. Julie Marie
Simpson is an account planner for Mad Dogs & Englishmen. Amy Catherine
Simpson is the chef and owner of Jack Rabbit Moon. See section (b) above
for the business addresses of these general partners. Elizabeth Simpson
Murray is self-employed as an actress, and Anne Simpson Gattis is a
housewife; they have no business addresses.
(d) During the last five years, none of such persons has been
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors).
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 12 of 20 Pages
(e) During the last five years, none of such persons was a party to a
civil proceeding of a judicial or administrative body of competent
jurisdiction and as a result of such proceeding was or is subject to a
judgment, decree or final order enjoining future violations of, or
prohibiting or mandating activities subject to, federal or state securities
laws or finding any violation with respect to such laws.
(f) All of such natural persons are citizens of the United States of
America.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
The source and amount of funds used in purchasing the Stock were as follows:
Purchaser Source of Funds Amount
SIC Other -0-
Barclay Simpson Personal Funds nominal
Dr. John B. Simpson Other -0-
Anne Simpson Gattis Other -0-
Jean D. Simpson Other -0-
Jeffrey Philip Gainsborough Other -0-
Julie Marie Simpson Other -0-
Elizabeth Simpson Murray Other -0-
Amy Catherine Simpson Other -0-
ITEM 4. PURPOSE OF TRANSACTION.
The sole purpose of the acquisitions of the Stock reported herein was and is
for investment. SIC is the majority shareholder of SMCO, and Barclay
Simpson, the managing general partner of SIC, is the Chairman of the Board
of Directors of SMCO, and, as such, controls SMCO and its management.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 13 of 20 Pages
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
The beneficial ownership of the Stock of the person named in Item 2 of this
statement is as follows at the date hereof:
Aggregate
Beneficially
Owned Voting Power Dispositive Power
Name Number Percent Sole Shared Sole Shared
SIC 6,179,055 54 0 6,179,055 0 6,179,055
Barclay
Simpson 6,533,280 57.1 254,225 6,279,055 254,225 6,279,055
(1) (2) (1) (2) (1) (2)
Dr. John B.
Simpson 16,500 .1 16,500 0 16,500 0
Anne Simpson
Gattis 16,500 .1 16,500 0 16,500 0
Jean D.
Simpson 16,500 .1 16,500 0 16,500 0
Jeffrey Philip
Gainsborough 6,600 .1 6,600 0 6,600 0
Julie Marie
Simpson 6,600 .1 6,600 0 6,600 0
Elizabeth Simpson
Murray 6,600 .1 6,600 0 6,600 0
Amy Catherine
Simpson 6,600 .1 6,600 0 6,600 0
(1) Includes 125 shares of Stock receivable on exercise of an option
that is exercisable within 60 days.
(2) Includes 100,000 shares of Stock owned by SMCO's profit sharing
trusts, of which Barclay Simpson shares voting and dispositive power with
the other members of the committee appointed by SMCO to administer the
profit sharing trusts. Barclay Simpson disclaims beneficial ownership of
the 100,000 shares of Stock, except to the extent of his participation as a
beneficiary of one of the trusts.
Barclay Simpson has a 77% interest in SIC; Dr. John B. Simpson, Anne
Simpson Gattis and Jean D. Simpson each have a 5% interest in SIC; and
Jeffrey Philip Gainsborough, Julie Marie Simpson, Elizabeth Simpson Murray
and Amy Catherine Simpson each have a 2% interest in SIC.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 14 of 20 Pages
The persons filing this statement effected the following transactions in the
Stock on the dates indicated, and such transactions are the only
transactions by the person filing this statement in the Stock since August
19, 1996:
Number Price
Type of Purchase of per Broker
Name Security or Sale Date Shares Share Used
SIC Common Gift 10/18/96 10,000 -0- None
SIC Common Gift 10/18/96 20,000 -0- None
SIC Common Distri- 10/29/96 330,000 -0- None
bution to
SIC's General
Partners
ITEM. 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER.
Barclay Simpson, Dr. John B. Simpson, Anne Simpson Gattis, Jean D.
Simpson, Jeffrey Philip Gainsborough, Julie Marie Simpson, Elizabeth Simpson
Murray, and Amy Catherine Simpson are the general partners of SIC, pursuant
to SIC's partnership agreement. As the managing general partner of SIC, and
as attorney-in-fact for the other reporting persons, Barclay Simpson has the
authority, among other things, to invest the funds of SIC in the Stock, to
vote and dispose of the Stock and to file this statement on behalf of SIC
and the other general partners.
Barclay Simpson participates in the SMCO 1994 Stock Option Plan
(the "Plan"), which is described on pages 13 to 17 of Exhibit B hereto (and
a copy of which is attached as Exhibit B to such Exhibit B hereto). On
February 14, 1995, SMCO granted Barclay Simpson a Nonstatutory Stock Option
(the "Option"). The Option entitles Barclay Simpson to purchase up to 500
shares of Stock at an exercise price of $11.28 per share. The 1995 Option
became or will become exercisable with respect to 125 shares of Stock on
February 14 of each of 1996, 1997, 1998 and 1999. The Option will expire on
February 14, 2002, unless exercised sooner.
Barclay Simpson also serves on the committee that administers the
SMCO profit sharing trusts, and information regarding this position is
incorporated by reference to note two under Item 5 herein.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
A. Agreement Regarding Joint Filing of Statement on Schedule
13D.
B. Simpson Manufacturing Co., Inc. Proxy Statement dated
April 17, 1995, is incorporated herein by reference.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 15 of 20 Pages
C. Nonstatutory Stock Option dated February 14, 1995, granted to
Barclay Simpson, is incorporated herein by reference to Appendix II of
Exhibit 10.34(a) to SMCO's Registration Statement on Form S-1, Registration
Number 33-76370, filed on March 14, 1994.
D. SIC Partnership Agreement.
SIGNATURES
After reasonable inquiry and to the best of my knowledge, I certify
that the information set forth in this statement is true, complete and
correct.
DATED: November 7, 1996.
SIMPSON INVESTMENT COMPANY
By: /s/ Barclay Simpson
----------------------------
Barclay Simpson
Managing General Partner
Dr. John B. Simpson
Anne Simpson Gattis
Jean D. Simpson
Jeffrey Philip Gainsborough
Julie Marie Simpson
Elizabeth Simpson Murray
Amy Catherine Simpson
By: /s/ Barclay Simpson
----------------------------
Barclay Simpson
Attorney-In-Fact
/s/ Barclay Simpson
- ----------------------------
Barclay Simpson
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 16 of 20 Pages
EXHIBIT A
AGREEMENT REGARDING JOINT FILING
OF STATEMENT ON SCHEDULE 13D
The undersigned agree to file jointly with the Securities and Exchange
Commission (the "SEC") any and all statements on Schedule 13D (and any
amendments or supplements thereto) required under section 13(d) of the
Securities Exchange Act of 1934, as amended, in connection with purchase by
the undersigned of the Stock of SMCO. For that purpose, the undersigned
hereby constitute and appoint Barclay Simpson and Stephen B. Lamson as their
true and lawful agents and attorneys-in-fact, with full power and authority
for and on behalf of the undersigned to prepare or cause to be prepared,
sign, file with the SEC and furnish to any other person all certificates,
instruments, agreements and documents necessary to comply with section 13(d)
and section 16(a) of the Securities Exchange Act of 1934, as amended, in
connection with said purchases, and to do and perform every act necessary
and proper to be done incident to the exercise of the foregoing power, as
fully as the undersigned might or could do if personally present.
DATED: November 7, 1996.
SIMPSON INVESTMENT COMPANY
By: /s/ Barclay Simpson
----------------------------
Barclay Simpson
Managing General Partner
/s/ Dr. John B. Simpson /s/ Jean D. Simpson
- ---------------------------- ----------------------------
Dr. John B. Simpson Jean D. Simpson
/s/ Anne Simpson Gattis /s/ Amy Catherine Simpson
- ---------------------------- ----------------------------
Anne Simpson Gattis Amy Catherine Simpson
/s/ Julie Marie Simpson /s/ Barclay Simpson
- ---------------------------- ----------------------------
Julie Marie Simpson Barclay Simpson
/s/ Jeffrey Philip Gainsborough /s/ Elizabeth Simpson Murray
- -------------------------------- --------------------------------
Jeffrey Philip Gainsborough Elizabeth Simpson Murray
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 17 of 20 Pages
EXHIBIT D
GENERAL PARTNERSHIP AGREEMENT
OF
SIMPSON INVESTMENT COMPANY
This partnership began on February 29, 1968 as a limited
partnership. The limited partnership was dissolved on December 28, 1988 and
the partnership continued as a general partnership. The dissolution was
done to avoid a newly enacted tax imposed on limited partnerships by the
State of California. The partners now desire to amend and clarify the terms
and provisions of their partnership agreement and to reduce their agreement
to writing.
ARTICLE I.
Name of Partnership and Term
The name of the partnership shall continue to be Simpson
Investment Company.
The partnership shall continue until dissolved and terminated by
mutual agreement of all the partners or under the provisions Article 4 upon
the death of the managing partner.
ARTICLE II.
Division of Profits and Losses
The partnership's profits and losses shall be shared among the
partners as follows:
Barclay Simpson 85%
John B. Simpson 5%
Anne Simpson Gattis 5%
Jean D. Simpson 5%
The above percentages shall continue so long as the partners
withdrawals are in the above percentages. If and when a partner withdraws
more than his or her above percentage then the percentages shall change as
agreed by all of the partners.
ARTICLE III.
Management
The managing partner shall be Barclay Simpson and he shall have
control over the business of the partnership and assume direction of its
business operations. The managing partner shall consult and confer as far
as practicable with the nonmanaging partners, but the power of decision
shall be vested in the managing partner.
Page No. 1
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 18 of 20 Pages
EXHIBIT D
ARTICLE IV.
Managing Partner's Death
The partnership shall dissolve and terminate on the death of the
managing partner.
The managing partner's will now provides for certain of his
interests in partnership property to be given to a trust for his
grandchildren. The nonmanaging partners agree to sell their interest in any
partnership properties to the estate of the managing partner. The selling
price shall be the appraised value assigned to these properties in
appraising the managing partners interest in this partnership. The
properties shall be all properties owned by the partnership except stock in
Simpson Manufacturing Co. Inc.
ARTICLE IV.
Nonmanaging Partners' Death
The partnership shall not dissolve or terminate on any nonmanaging
partners' death.
ARTICLE V.
Nontransferability of Partnership Interests
A partner's interest in the partnership shall not be transferred,
in whole or in part, except by intestate succession or testamentary
disposition on the partner's death, and any other purported transfer of all
or part of a partner's interest shall be void and of no effect against the
partnership, any other partner, any creditor of the partnership, or any
claimant against the partnership.
ARTICLE VI.
Withdrawal of Lake Tahoe Real Property
The managing partner would like to contribute his interest in the
Lake Tahoe Real property to an irrevocable trust for the benefit of his
children and step-children and he would like the other three partners to
contribute their interests in the Lake Tahoe Real property to this trust.
Their signature to this partnership agreement will constitute approval of
this withdrawal of the Lake Tahoe property to the Simpson Children Trust, or
directly to each of the seven children -- John, Anne, Jean, Jeff, Julie,
Lizzie, Amy -- in equal shares.
Page No. 2
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 19 of 20 Pages
EXHIBIT D
IN WITNESS WHEREOF, the partners have executed this agreement.
1-21-89 /s/ Barclay Simpson
---------- ----------------------------
Date Barclay Simpson
1-29-89 /s/ John B. Simpson
---------- ----------------------------
Date John B. Simpson
1/12/89 /s/ Anne Simpson Gattis
---------- ----------------------------
Date Anne Simpson Gattis
2/21/89 /s/ Jean D. Simpson
---------- ----------------------------
Date Jean D. Simpson
Page No. 3
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 20 of 20 Pages
EXHIBIT D
GIFT OF SIMPSON INVESTMENT COMPANY PARTNERSHIP INTEREST
Federal EIN 94-6340817
We presently own an 85% general partnership interest in the Simpson
Investment Company, a general partnership. It is a community property
interest owned with my spouse. By this document, we are giving a 2.0%
interest in the partnership to each of the following individuals: Jeffery
P. Gainsborough, Julie Marie Simpson, Elizabeth Simpson and Amy Simpson.
After this gift, we will own an 77% interest in the partnership.
December 28, 1993 /s/ Barclay Simpson
----------------------
Barclay Simpson
December 28, 1993 /s/ Sharon Simpson
----------------------
Sharon Simpson
