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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
INFORMATION STATEMENT PURSUANT TO RULES 13D-1 AND 13D-2
(AMENDMENT NO. ________)*
CHICAGO MINIATURE LAMP, INC.
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(NAME OF ISSUER)
Common Stock, Par Value $.01
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(TITLE OF CLASS OF SECURITIES)
167781 10 3
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(CUSIP NUMBER)
-----------------------
Check the following box if a fee is being paid with the statement [X]. (A fee is
not required only if the filing 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.)
* 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 the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
"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 THE FOLLOWING PAGES)
Page 1 of 19
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SCHEDULE 13G
CUSIP No. 167781 10 3 Page 2 of 19 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Frank M. Ward Soc. Sec. No. ###-##-####
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5. SOLE VOTING POWER
1,235,520
-------------------------------------------------------------------------
6 SHARED VOTING POWER
6,454,047
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7 SOLE DISPOSITIVE POWER
1,235,520
-------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
6,454,047
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,689,567
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
73.4%
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12 TYPE OF REPORTING PERSON
IN
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SCHEDULE 13G
CUSIP No. 167781 10 3 Page 3 of 19 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Eileen M. Ward Soc. Sec. No. ###-##-####
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5 SOLE VOTING POWER
-------------------------------------------------------------------------
6 SHARED VOTING POWER
6,454,047
-------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
-------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
6,454,047
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
61.6%
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12 TYPE OF REPORTING PERSON
IN
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SCHEDULE 13G
CUSIP No. 167781 10 3 Page 4 of 19 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Thomas J. Ward Revocable Trust
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5 SOLE VOTING POWER
247,104
-------------------------------------------------------------------------
6 SHARED VOTING POWER
-------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
247,104
-------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
247,104
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.3%
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12 TYPE OF REPORTING PERSON
00
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SCHEDULE 13G
CUSIP No. 167781 10 3 Page 5 of 19 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Julianne Ward Revocable Trust
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5 SOLE VOTING POWER
247,104
-------------------------------------------------------------------------
6 SHARED VOTING POWER
-------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
247,104
-------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
247,104
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.3%
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12 TYPE OF REPORTING PERSON
00
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SCHEDULE 13G
CUSIP No. 167781 10 3 Page 6 of 19 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Francis J. Ward Revocable Trust
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5 SOLE VOTING POWER
247,104
-------------------------------------------------------------------------
6 SHARED VOTING POWER
-------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
247,104
-------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
247,104
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.3%
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12 TYPE OF REPORTING PERSON
00
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SCHEDULE 13G
CUSIP No. 167781 10 3 Page 7 of 19 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Eileen C. Ward Revocable Trust
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5 SOLE VOTING POWER
247,104
-------------------------------------------------------------------------
6 SHARED VOTING POWER
-------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
247,104
-------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
247,104
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.3%
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12 TYPE OF REPORTING PERSON
00
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SCHEDULE 13G
CUSIP No. 167781 10 3 Page 8 of 19 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Stephen P. Ward Revocable Trust
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5 SOLE VOTING POWER
247,104
-------------------------------------------------------------------------
6 SHARED VOTING POWER
-------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
247,104
-------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
247,104
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.3%
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12 TYPE OF REPORTING PERSON
00
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SCHEDULE 13G
CUSIP No. 167781 10 3 Page 9 of 19 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Frank M. Ward, Trustee, The Ward Trusts
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5 SOLE VOTING POWER
1,235,520
-------------------------------------------------------------------------
6 SHARED VOTING POWER
-------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
1,235,520
-------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,235,520
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11,8%
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12 TYPE OF REPORTING PERSON
00
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<PAGE>
ITEM 1(a). NAME OF ISSUER:
Chicago Miniature Lamp, Inc., an Oklahoma corporation (the "Issuer").
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
The Issuer's principal executive offices are located at 500 Chapman Street,
Canton, Massachusetts 02021.
ITEM 2(a). NAME OF PERSON FILING:
This Schedule is being filed by Frank M. Ward, Eileen M. Ward,Thomas J.
Ward Revocable Trust, Julianne Ward Revocable Trust, Francis J. Ward Revocable
Trust, Eileen C. Ward Revocable Trust, Stephen P. Ward Revocable Trust and Frank
M. Ward as Trustee for the five revocable trusts for the benefit of his children
(the "Ward Trusts").
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
The business address or residence of above named filing person is as
follows:
Filing Person Business or Residence Address
------------- -----------------------------
Frank M. Ward 500 Chapman Street
Canton, MA 02021
Eileen M. Ward 500 Chapman Street
Canton, MA 02021
Ward Trusts c/o Frank M. Ward
500 Chapman Street
Canton, MA 02021
ITEM 2(c). CITIZENSHIP:
The filing persons are citizens of the United States.
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
This Schedule relates to shares of Common Stock, par value $.01 per share
("Shares") of the Issuer.
ITEM 2(e). CUSIP NUMBER:
The CUSIP number for the Issuer's Shares is 167781 10 3.
Page 10 of 19
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ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B),
CHECK WHETHER THE FILING
PERSON IS A:
(a) [_] Broker or dealer registered under Section 15 of the Act,
(b) [_] Bank as defined in Section 3(a)(6) of the Act,
(c) [_] Insurance Company as defined in Section 3(a)(19) of the Act,
(d) [_] Investment Company registered under Section 8 of the Investment
Company Act,
(e) [_] Investment Adviser registered under Section 203 of the Investment
Advisers Act of 1940.
(f) [_] Employment Benefit Plan, Pension Fund which is subject to the
provisions of the Employee Retirement Income Security Act of 1974
or Endowment Fund; see 13d-1(b)(1)(ii)(F).
(g) [_] Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G);
see Item 7,
(h) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(H).
Not applicable. The filing person acquired his or its Shares prior to
registration of the Shares pursuant to Section 12 of the Securities Exchange Act
of 1934, as amended, and this Schedule is being filed in accordance with Rule
13d-1(c) promulgated thereunder. This Schedule has been filed jointly on behalf
of each filing person since the manner by which the Shares were acquired by the
filing persons may cause them to be considered a "group" under Rule 13d-5 and
the "beneficial ownership" as defined under Rule 13d-3 of such "group" exceeds
5% of the Issuer's Shares.
ITEM 4. OWNERSHIP:
As of December 31, 1995: Frank M. Ward and Eileen M. Ward beneficially own
6,454,047 Shares as joint tenants with right of survivorship. Each of the five
trusts for the benefit of Frank M. Ward's children, beneficially own 247,104
Shares (the "Ward Trusts"). As Trustee of the Ward Trusts, Frank M. Ward has
beneficial ownership of an additional 1,235,520 Shares. The Ward Trusts
terminate upon each child reaching age 35 (the first of such trusts will
terminate in 2005).
Page 11 of 19
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Based upon 10,469,938 Shares outstanding as disclosed in the Issuer's Form
10-Q for the quarter ended 8/27/95, each of the Ward Trusts has sole voting and
dispositive power over 2.3% of the Shares. Frank M. Ward and Eileen M. Ward
share voting and dispositive power over 61.6% of the Issuer's outstanding shares
of Common Stock. As Trustee of the Ward Trusts, Frank M. Ward has sole voting
and dispositive power over an additional 11.8% of the Issuer's outstanding
Shares. In the aggregate, Mr. Ward has beneficial ownership of 73.4% of the
Issuer's outstanding Shares.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:
Not Applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:
Not Applicable.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY:
Not Applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:
Not Applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP:
Not Applicable.
ITEM 10. CERTIFICATION:
Not Applicable.
Page 12 of 19
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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.
10-10-96 /s/ Frank M. Ward
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Date (Signature)
Frank M. Ward/President and CEO
--------------------------------
(Name and Title)
Page 13 of 19
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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.
10-10-96 /s/ Eileen M. Ward
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Date (Signature)
Eileen M. Ward
--------------------------------
(Name and Title)
Page 14 of 19
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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.
Thomas J. Ward Revocable Trust
10-10-96 /s/ Frank M. Ward
- -------------------- --------------------------------
Date (Signature)
Frank M. Ward, Trustee
--------------------------------
(Name and Title)
Page 15 of 19
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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.
Julianne Ward Revocable Trust
10-10-96 /s/ Frank M. Ward
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Date (Signature)
Frank M. Ward, Trustee
--------------------------------
(Name and Title)
Page 16 of 19
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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.
Francis J. Ward Revocable Trust
10-10-96 /s/ Frank M. Ward
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Date (Signature)
Frank M. Ward, Trustee
--------------------------------
(Name and Title)
Page 17 of 19
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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.
Eileen C. Ward Revocable Trust
10-10-96 /s/ Frank M. Ward
- -------------------- --------------------------------
Date (Signature)
Frank M. Ward, Trustee
--------------------------------
(Name and Title)
Page 18 of 19
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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.
Stephen P. Ward Revocable Trust
10-10-96 /s/ Frank M. Ward
- -------------------- --------------------------------
Date (Signature)
Frank M. Ward, Trustee
--------------------------------
(Name and Title)
Page 19 of 19
