SC 13G/A: Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions
Published on February 12, 2002
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
----------
SCHEDULE 13G
(RULE 13D-102)
INFORMATION STATEMENT PURSUANT TO RULES 13D-1 AND 13D-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 9)
PENN ENGINEERING & MANUFACTURING CORP.
--------------------------------------
(Name of Issuer)
Common Stock
------------
(Title of Class of Securities)
707389102
---------
(CUSIP Number)
December 31, 2001
-----------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
CUSIP No. 707389102 Page 1 of 5 Pages
1) Names of Reporting Persons
IRS Identification No. Of Above Persons
The PNC Financial Services Group, Inc. (formerly, PNC Bank Corp.)
25-1435979
2) Check the Appropriate Box if a Member of a Group (See Instructions)
a) [ ]
b) [ ]
3) SEC USE ONLY
4) Citizenship or Place of Organization Pennsylvania
Number of Shares 5) Sole Voting Power -0-
Beneficially Owned 6) Shared Voting Power 548,394
By Each Reporting 7) Sole Dispositive Power -0-
Person With 8) Shared Dispositive Power 422,444
9) Aggregate Amount Beneficially Owned by Each Reporting Person 548,394*
*See the response to Item 4.
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
See Instructions [ ]
11) Percent of Class Represented by Amount in Row (9) 16.36
12) Type of Reporting Person (See Instructions) HC
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
----------
SCHEDULE 13G
(RULE 13D-102)
INFORMATION STATEMENT PURSUANT TO RULES 13D-1 AND 13D-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 9)
PENN ENGINEERING & MANUFACTURING CORP.
--------------------------------------
(Name of Issuer)
Common Stock
------------
(Title of Class of Securities)
707389102
---------
(CUSIP Number)
December 31, 2001
-----------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
CUSIP No. 707389102 Page 2 of 5 Pages
1) Names of Reporting Persons
IRS Identification No. Of Above Persons
PNC Bancorp, Inc. 51-0326854
2) Check the Appropriate Box if a Member of a Group (See Instructions)
a) [ ]
b) [ ]
3) SEC USE ONLY
4) Citizenship or Place of Organization Delaware
Number of Shares 5) Sole Voting Power -0-
Beneficially Owned 6) Shared Voting Power 548,394
By Each Reporting 7) Sole Dispositive Power -0-
Person With 8) Shared Dispositive Power 422,444
9) Aggregate Amount Beneficially Owned by Each Reporting Person 548,394*
*See the response to Item 4.
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
See Instructions [ ]
11) Percent of Class Represented by Amount in Row (9) 16.36
12) Type of Reporting Person (See Instructions) HC
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
----------
SCHEDULE 13G
(RULE 13D-102)
INFORMATION STATEMENT PURSUANT TO RULES 13D-1 AND 13D-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 9)
PENN ENGINEERING & MANUFACTURING CORP.
--------------------------------------
(Name of Issuer)
Common Stock
------------
(Title of Class of Securities)
707389102
---------
(CUSIP Number)
December 31, 2001
-----------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
CUSIP No. 707389102 Page 3 of 5 Pages
1) Names of Reporting Persons
IRS Identification No. Of Above Persons
PNC Bank, National Association 22-1146430
2) Check the Appropriate Box if a Member of a Group (See Instructions)
a) [ ]
b) [ ]
3) SEC USE ONLY
4) Citizenship or Place of Organization United States
Number of Shares 5) Sole Voting Power -0-
Beneficially Owned 6) Shared Voting Power 548,394
By Each Reporting 7) Sole Dispositive Power -0-
Person With 8) Shared Dispositive Power 422,444
9) Aggregate Amount Beneficially Owned by Each Reporting Person 548,394*
*See the response to Item 4.
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
See Instructions [ ]
11) Percent of Class Represented by Amount in Row (9) 16.36
12) Type of Reporting Person (See Instructions) BK
Page 4 of 5 Pages
ITEM 4 - OWNERSHIP:
The following information is as of December 31, 2001:
(a) Amount Beneficially Owned: 548,394 shares*
*At December 31, 2001, PNC Bank, National Association also beneficially
owned in one or more accounts 960,982 shares of nonvoting common stock of
the Issuer.
(b) Percent of Class: 16.36
(c) Number of shares to which such person has:
(i) sole power to vote or to direct the vote -0-
(ii) shared power to vote or to direct the vote 548,394
(iii) sole power to dispose or to direct the disposition of -0-
(iv) shared power to dispose or to direct the disposition of 422,444
ITEM 7 - IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY:
Included are the following subsidiaries of The PNC Financial Services Group,
Inc. (formerly, PNC Bank Corp.) - HC:
PNC Bancorp, Inc. - HC (wholly owned subsidiary of PNC Bank Corp.)
PNC Bank, National Association - BK (wholly owned subsidiary of PNC Bancorp,
Inc.)
ITEM 10 - CERTIFICATION:
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and held in the ordinary
course of business and were not acquired and are not held for the purpose of or
with the effect of changing or influencing the control of the issuer of the
securities and were not acquired and are not held in connection with or as a
participant in any transaction having that purpose or effect.
Page 5 of 5 Pages
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.
February 12, 2002
- -----------------------------------------------------------------------
Date
By: /s/ Robert L. Haunschild
- -----------------------------------------------------------------------
Signature - The PNC Financial Services Group, Inc.
Robert L. Haunschild, Senior Vice President and Chief Financial Officer
- -----------------------------------------------------------------------
Name & Title
February 12, 2002
- -----------------------------------------------------------------------
Date
By: /s/ James B. Yahner
- -----------------------------------------------------------------------
Signature - PNC Bancorp, Inc.
James B. Yahner, Vice President
- -------------------------------
Name & Title
February 12, 2002
- -----------------------------------------------------------------------
Date
By: /s/ Thomas R. Moore
- -----------------------------------------------------------------------
Signature - PNC Bank, National Association
Thomas R. Moore, Secretary
- --------------------------
Name & Title
AN AGREEMENT TO FILE A JOINT STATEMENT
WAS PREVIOUSLY FILED AS EXHIBIT A TO AMENDMENT NO. 2.