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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 2)
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)
September 30, 1997
(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)
THIS PAGE MUST BE DUPLICATED FOR EACH ENTITY INCLUDED IN THIS FILING.<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 2 of 15 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 3,550,621
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 150,001
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 3,550,621
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
1,552,784
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,103,405
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* / /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
44.5%
- ---------------------------------------------------------------------------
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 15 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 1
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 0
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
1
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* / /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.0
- ---------------------------------------------------------------------------
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 15 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 321,453
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 16,500
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
304,953
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
321,453
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* / /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.8
- ---------------------------------------------------------------------------
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 15 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 321,453
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 16,500
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
304,953
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
321,453
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* / /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.8
- ---------------------------------------------------------------------------
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 15 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 304,953
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 0
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
304,953
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
304,953
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* / /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.7
- ---------------------------------------------------------------------------
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 15 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 128,581
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 6,600
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
121,981
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
128,581
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* / /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.1
- ---------------------------------------------------------------------------
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 15 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 128,581
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 6,600
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
121,981
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
128,581
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* / /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.1
- ---------------------------------------------------------------------------
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 15 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 128,581
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 6,600
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
121,981
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
128,581
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* / /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.1
- ---------------------------------------------------------------------------
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 15 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 128,581
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 6,600
--------------------------------------------------
10 SHARED DISPOSITIVE POWER
121,981
- ---------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
128,581
- ---------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* / /
- ---------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.1
- ---------------------------------------------------------------------------
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 15 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, Washington 98195. Jean D. Simpson's
business address is 746 Grand Avenue, Oakland, California 94610. Jeffrey
Philip Gainsborough's business address is 12615 Millvan Drive, Houston,
Texas 77070. Julie Marie Simpson's business address is 520 Miner Road,
Orinda, California 94563. Amy Catherine Simpson's business address is 907
Tahoe Boulevard, Incline Village, Nevada 89450. Elizabeth Simpson Murray's
residence address is 11772 Sunset Boulevard, Los Angeles, California 90049.
Anne Simpson Gattis' residence address is 29 Charles Hill Road, Orinda,
California 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 general 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
president of Foremost Mortgage, LLC, a Texas limited liability company.
Julie Marie Simpson is self-employed as an advertising planner. 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 15 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:
Source
Purchaser 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.
SIC made a pro-rata partnership distribution to its general partners in an
aggregate amount of 6,099,054 shares of the Stock. Barclay Simpson donated
1,400,000 shares of the Stock to Simpson PSB Fund, a California nonprofit
public benefit corporation ("PSB"). Jeffrey P. Gainsborough intends to sell
6,600 shares of the Stock.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 13 of 15 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:
<TABLE>
<CAPTION>
Aggregate
Beneficially
Owned Voting Power Dispositive Power
---------------------- ---------------------- ----------------------
Name Number Percent Sole Shared Sole Shared
- --------------- ---------- ---------- ---------- ---------- ---------- ----------
<S> <C> <C> <C> <C> <C> <C>
SIC 1 0 0 1 0 1
Barclay
Simpson 5,103,405 44.5 3,550,621 150,001 3,550,621 1,552,784
(1)(2)(3) (1) (2) (1) (2)(3)
Dr. John B.
Simpson 321,453 2.8 321,453 0 16,500 304,953
(4)
Anne Simpson
Gattis 321,453 2.8 321,453 0 16,500 304,953
(4)
Jean D.
Simpson 304,953 2.7 304,953 0 0 304,953
(4)
Jeffrey Philip
Gainsborough 128,581 1.1 128,581 0 6,600 121,981
(4)
Julie Marie
Simpson 128,581 1.1 128,581 0 6,600 121,981
(4)
Elizabeth
Simpson
Murray 128,581 1.1 128,581 0 6,600 121,981
(4)
Amy Catherine
Simpson 128,581 1.1 128,581 0 6,600 121,981
(4)
</TABLE>
(1) Includes 250 shares of Stock receivable on exercise of an option
that is exercisable within 60 days.
(2) Includes 150,000 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 150,000 shares of Stock, except to the
extent of his participation as a beneficiary of one of the trusts.
Includes one share of Stock held by SIC.
(3) Includes 1,402,783 shares of Stock held in the aggregate by
Barclay Simpson's seven children, of which Barclay Simpson shares
dispositive power.
(4) Barclay Simpson shares dispositive power regarding these shares of
Stock.
<PAGE>
SCHEDULE 13D
CUSIP No. 829073105 Page 14 of 15 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
1, 1997:
<TABLE>
<CAPTION>
Number Price
Type of Purchase of per Broker
Name Security or Sale Date Shares Share Used
- ---------- ---------- -------------- ---------- ---------- ---------- ----------
<S> <C> <C> <C> <C> <C> <C>
SIC Common Distri- 9/30/97 6,099,054 -0- None
bution to
SIC's general
partners
Barclay
Simpson Common Gift 9/30/97 1,400,000 -0- None
</TABLE>
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,
Barclay Simpson has the authority to vote and dispose of the Stock held by
SIC and to file this statement on behalf of SIC and the other general
partners. Barclay Simpson holds as informal custodian the certificates for
the shares of Stock distributed to SIC's other general partners on 9/30/97.
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 "1995 Option"). The 1995 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 1995 Option
will expire on February 14, 2000, unless exercised sooner. In addition, on
June 20, 1997, SMCO granted Barclay Simpson a Nonstatutory Stock Option (the
"1997 Option"). The 1997 Option entitles Barclay Simpson to purchase up to
500 shares of Stock at an exercise price of $25.30 per share. The 1997
Option will become exercisable with respect to 125 shares of Stock on
January 1 of each of 1998, 1999, 2000 and 2001. The 1997 Option will
expire on January 1, 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
is incorporated herein by reference to Amendment No. 1 to this Schedule 13D
filed on November 7, 1996.
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 15 Pages
C. Nonstatutory Stock Options dated February 14, 1995, and June
20, 1997, granted to Barclay Simpson, are 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 is incorporated herein by reference
to Amendment No. 1 to this Schedule 13D filed on November 7, 1996.
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: October 8, 1997.
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
