UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

SCHEDULE 13D

 

Under the Securities Exchange Act of 1934
(Amendment No.   2)*

GRIFFIN LAND & NURSERIES, INC.

(Name of Issuer)

 

Common Stock $0.01 Par Value

(Title of Class of Securities)

 

398231 10 0

(CUSIP Number)

 

Frederick M. Danziger

One Rockefeller Plaza Suite 2301

New York, New York 10020 (212) 561-8700

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

April 19, 2007

(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 that 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 o.

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).




 

 

CUSIP No.  299890108

 

 

1.

Names of Reporting Persons
S.S. or  I.R.S. Identification Nos. of Above Persons
Edgar M. Cullman

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire shares

 

 

5.

Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
46,138

 

8.

Shared Voting Power
866,204

 

9.

Sole Dispositive Power
46,138

 

10.

Shared Dispositive Power
866,204

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
46,138

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.88

 

 

14.

Type of Reporting Person*
IN

 

*SEE INSTRUCTIONS BEFORE FILLING OUT!

2




 

 

CUSIP No.  299890108

 

 

1.

Names of Reporting Persons
S.S. or  I.R.S. Identification Nos. of Above Persons
Louise B. Cullman

 

 

2.

Check the Appropriate Box If a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire shares

 

 

5.

Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
38,410

 

8.

Shared Voting Power
743,365

 

9.

Sole Dispositive Power
38,410

 

10.

Shared Dispositive Power
743,365

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
53,410

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.74

 

 

14.

Type of Reporting Person*
IN

 

*SEE INSTRUCTIONS BEFORE FILLING OUT!

3




 

 

CUSIP No.  299890108

 

 

1.

Names of Reporting Persons
S.S. or  I.R.S. Identification Nos. of Above Persons
Edgar M. Cullman, Jr.

 

 

2.

Check the Appropriate Box If a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire shares

 

 

5.

Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
221,342

 

8.

Shared Voting Power
715,146

 

9.

Sole Dispositive Power
221,342

 

10.

Shared Dispositive Power
715,146

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
221,342

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
4.26

 

 

14.

Type of Reporting Person*
IN

 

*SEE INSTRUCTIONS BEFORE FILLING OUT!

4




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Elissa F. Cullman

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x                                                                                                                            See Item 6 and Insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
17,000

 

8.

Shared Voting Power
55,200

 

9.

Sole Dispositive Power
17,000

 

10.

Shared Dispositive Power
55,200

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
17,000

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.33

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

5




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Susan R. Cullman

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x                                                                                                                            See Item 6 and Insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
87,765

 

8.

Shared Voting Power
904,634

 

9.

Sole Dispositive Power
87,765

 

10.

Shared Dispositive Power
904,634

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
87,765

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
1.69

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

6




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Lucy C. Danziger

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x                                                                                                                            See Item 6 and Insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
60,322

 

8.

Shared Voting Power
728,358

 

9.

Sole Dispositive Power
60,322

 

10.

Shared Dispositive Power
728,358

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
60,322

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
1.16

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

7




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Frederick M. Danziger

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x                                                                                                                            See Item 6 and Insert 1

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
(see Item 3)

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
137,485

 

8.

Shared Voting Power
209,778

 

9.

Sole Dispositive Power
137,485

 

10.

Shared Dispositive Power
209,778

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
137,485

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
2.65

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

8




CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
David M. Danziger

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
52,308

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
52,308

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
52,308

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
1.00

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

9




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of above persons
Carolyn s. Fabrici

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
23,858

 

8.

Shared Voting Power
118,952

 

9.

Sole Dispositive Power
23,858

 

10.

Shared Dispositive Power
118,952

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
23,858

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.05

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

10




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
John L. Ernst

 

 

2.

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
8,049

 

8.

Shared Voting Power
411,321

 

9.

Sole Dispositive Power
8,049

 

10.

Shared Dispositive Power
411,321

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
8,049

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.16

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

11




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of above persons
Margot P. Ernst

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
0

 

8.

Shared Voting Power
20,315

 

9.

Sole Dispositive Power
0

 

10.

Shared Dispositive Power
20,315

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.00

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

12




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Alexandra Ernst

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
1,748

 

8.

Shared Voting Power
88,137

 

9.

Sole Dispositive Power
1,748

 

10.

Shared Dispositive Power
88,137

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,748

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.03

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

13




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
B. Bros. Realty LLC

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
233,792

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
233,792

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
233,792

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
4.50

 

 

14.

Type of Reporting Person (See Instructions)
LLC

 

14




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Matthew L. Ernst

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
1,650

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
1,650

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,650

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.03

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

15




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Rebecca D. Gamzon

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
41,705

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
41,705

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
41,705

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.80

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

16




CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
Edgar M. Cullman III

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
18,794

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
18,794

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
18,794

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.36

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

17




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
Caroline B. Sicher

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
21,422

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
21,422

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
21,422

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.41

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

18




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
Samuel Cullman

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
13,594

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
13,594

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
13,594

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.26

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

19




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of above persons
Jessica P. Earnst

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
1,250

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
1,250

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,250

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.02

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

20




 

CUSIP No. 299890108

 

 

1.

Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of above persons
Georgina Cullman

 

 

2.

Check the Appropriate Box if a Member of a Group*

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds*
No funds were used to acquire the shares

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
USA

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
9,550

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
9,550

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
9,550

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   x

 

 

13.

Percent of Class Represented by Amount in Row (11)
.18

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

21




 

SCHEDULE 13D ITEMS

Item 1. Security and Issuer

This Amendment No. 2 amends the Schedule 13D filed July 3, 1997 (as so amended, the “Schedule”) by the Reporting Person (as defined below) relating to the Common Stock, $0.01 par value (the “Common Stock”), of Griffin Land & Nurseries, Inc. (the “Issuer”), a Delaware corporation having its principal executive offices at One Rockefeller Plaza, Suite 2301, New York, New York 10020. The purpose of this Amendment No. 2 is to report the acquisition of additional shares of Common Stock by Reporting Persons on April 19, 2007  (as described in Item 4 below) and to update Insert 1 and the cover pages hereto to reflect this acquisition as well as other non-reportable acquisitions or dispositions since Sept. 17, 1999.

Item 2. Identity and Background

See Insert 1 attached hereto.

None of the persons filing this Schedule (the “Reporting Persons”) has been convicted in a criminal proceeding (other than for traffic violations or similar misdemeanors) during the past 5 years 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 violations with respect to such laws. All individuals are citizens of the United States and all trusts, partnerships and corporations are organized or formed under the laws of the United States. The Reporting Persons have executed a joint filing agreement in connection with the filing of this Schedule, a copy of which has been filed as Exhibit 1 hereto.

22




Item 3. Source and Amount of Funds or Other Consideration

Securities of the issuer were exchanged under the option exercise discussed in Item 4.

Item 4. Purpose of Transaction

On April 19, 2007, Frederick M. Danziger exercised options to purchase 90,000 shares of common stock of Griffin Land & Nurseries at an exercise price of $14.6875 for 15,000 shares and an exercise price of $13.25 for 75,000 shares. Securities of the issuer were exchanged for the option exercise price and used at the trading value of $36.50 per share to pay the exercise price for the options exercised and the federal, state, local and medicare taxes resulting from the exercise. The aggregate number of shares of common stock so transferred as part of the exercise of the options was 59.001 together with approximately $69 in cash.

The purpose of these acquisitions is to hold such shares for investment purposes. Mr. Danziger, a Reporting Person, is also the Chief Executive Officer of the Issuer and a member of its Board of Directors. The acquisition of Common Stock is unrelated to any plans or proposals of the kind described in item 4 of Scheduled 13D and, except as previously disclosed by the Issuer in its reports pursuant to the Securities Exchange Act of 1934, as amended, the Reporting Persons have no current plans or proposals related to, or which they believe would result in, any of the events described in Item 4 of Schedule 13D.

23




Item 5. Interest in Securities of the Issuer

See Insert 1 hereto and cover pages.

Voting power and power to direct disposition of securities is shared by trustees of each of the trusts referred to in Item 2 as set forth on Insert 1. The officers and directors of the Samuel J. Bloomingdale Foundation, Inc., the Susan B. and Richard C. Ernst Foundation, Inc. and Louise B. and Edgar M. Cullman Foundation, Inc. and the trustees of charitable trust created by Justus Heijmans (collectively, the “Foundations”) referred to in Insert 1 as set forth on Insert 1 hereto share voting power and the power to dispose of such securities. Such shares are, however, not included in the individual totals shown on cover pages. Shares owned by B. Bros. Realty LLC are shown as beneficially owned for voting and dispositive purposes by both Managers of that LLC and also by the company itself.

No transactions in the Issuer’s Common Stock were effected during the 60 days preceding the date hereof by the persons filing this Schedule and their affiliated persons other than as set forth in Item 4 above.

Item 6. Contract, Arrangement or Understanding with Respect to Securities of the Issuer

None other than an informal understanding that the persons and entities listed in Insert 1 attached hereto will hold and vote together the shares of Issuer’s Common Stock owned by each of them. However, Trustees of trusts and partners of the partnership listed in Insert 1 may act independently where fiduciary responsibilities so require. Furthermore, the persons and entities listed in Insert 1 may acquire additional shares of the Issuer’s Common Stock.

Although the Foundations are included in Insert 1, no arrangement of any kind exists with respect to any of the Issuer’s Common Stock held by such Foundations. Such Foundations were included in Insert 1 only because certain of the undersigned are officers and directors of such Foundations.

Item 7. Material to the Filed as Exhibits

A copy of the Joint Filing Agreement, including powers of attorney, is attached hereto as Exhibit 1 to Schedule 13D.

24




Each of the undersigned hereby certifies after reasonable inquiry, that to the best of his/her knowledge and belief, the information set forth in this statement is true, complete and correct.

Date: May 14, 2007

 

Edgar M. Cullman*

 

 

Edgar M. Cullman, individually and as

 

 

Trustee of the Trusts of which he is a

 

 

Trustee as indicated on Insert 1 hereto

 

 

 

 

 

Louise B. Cullman*

 

 

Louise B. Cullman, individually and as

 

 

Trustee of the Trusts of which she is a

 

 

Trustee as indicated on Insert 1 hereto

 

 

 

 

 

Susan R. Cullman*

 

 

Susan R. Cullman, individually, as

 

 

Custodian and as Trustee of the Trusts

 

 

of which she is a Trustee as indicated

 

 

on Insert 1 hereto

 

 

 

 

 

Edgar M. Cullman, Jr.*

 

 

Edgar M. Cullman, Jr., individually, as

 

 

Custodian and as Trustee of the Trusts

 

 

of which he is a Trustee as indicated

 

 

on Insert 1 hereto

 

 

 

 

 

Lucy C. Danziger*

 

 

Lucy C. Danziger, individually and as

 

 

Trustee of the Trusts of which she is a

 

 

Trustee as indicated on Insert 1 hereto

 

 

 

 

 

John L. Ernst*

 

 

John L. Ernst, individually and as

 

 

Trustee of the Trusts of which he is a

 

 

Trustee, and as Guardian,

 

 

all as indicated on Insert 1 hereto

 

25




 

 

Carolyn S. Fabrici*

 

 

Carolyn S. Fabrici, individually and as

 

 

Trustee of the Trusts of which she is a

 

 

Trustee as indicated on Insert 1 hereto

 

 

 

 

 

/s/ Frederick M. Danziger

 

 

Frederick M. Danziger, individually and

 

 

as Trustee of the Trusts of which he is

 

 

a Trustee as indicated on Insert 1

 

 

hereto

 

 

 

 

 

Elissa F. Cullman*

 

 

Elissa F. Cullman, individually and as

 

 

Trustee of the Trusts of which she is a

 

 

Trustee as indicated on Insert 1 hereto

 

 

 

 

 

Rebecca D. Gamzon*

 

 

Rebecca D. Gamzon, individually

 

 

formerly Rebecca B. Danziger as custodian for minor childern Andrew Gamzon and Sarah Gamzon

 

 

 

 

 

Matthew L. Ernst*

 

 

Matthew L. Ernst, individually, as custodian for minor children Jonah Ernst and Odessa Ernst

 

 

 

 

 

B. BROS. REALTY LLC

 

 

 

 

 

 

 

 

By

John L. Ernst*

 

 

 

John L. Ernst,

 

 

 

Co Managing Member

 

 

 

 

 

Margot P. Ernst*

 

 

Margot P. Ernst, not individually but

 

 

as Trustee of the Trusts of which she

 

 

is a Trustee as indicated on Insert 1

 

 

hereto

 

 

 

 

 

Alexandra Ernst*

 

 

Alexandra Ernst, individually and as

 

 

Trustee of the Trusts of which she is a

 

 

Trustee as indicated on Insert 1 hereto as custodian of minor children Cooper Siegel and Shepard Siegel

 

26




 

 

David M. Danziger*

 

 

David M. Danziger, individually, as custodian for minor children Sameena Danziger and Sunaina Danziger

 

 

 

 

 

Edgar M. Cullman III*

 

 

Edgar M. Cullman III

 

 

 

 

 

Caroline B. Sicher*

 

 

Caroline B. Sicher, individually

 

 

 

 

 

By:

/s/ Frederick M. Danziger

 

 

Frederick M. Danziger

 

 

Attorney-in-Fact

 

 

 

 

 

Samuel Cullman*

 

 

Samuel Cullman, individually

 

 

 

 

 

Jessica P Ernst*

 

 

Jessica P Ernst, individually

 

 

 

 

 

Georgina Cullman

 

 

Georgina Cullman, individually

 

 

 

 

27




 

Griffin Land & Nurseries

 

 

Schedule 13D

 

Insert 1—Item 2.

Amendment #2

 

 

 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

1.

 

Edgar M. Cullman
(“EMC”)

 

2 E. 70th St.
New York, N.Y.
10021

 

Co Managing Member
Culbro, LLC
880 Third Ave

 

(65,000

)

46,138

 

.88

 

 

 

 

 

 

 

 

 

 

 

 

 

2.

 

Edgar M. Cullman, Jr.
(“EMC, Jr.”)

 

770 Park Avenue
New York, N.Y.
10021

 

Co Managing Member
Culbro, LLC
880 Third Ave
New York, N.Y.

 

92,966

 

221,342

 

4.26

 

 

 

 

 

 

 

 

 

 

 

 

 

3.

 

Elissa F. Cullman
(“EFC”)

 

770 Park Avenue
New York, New
York 10021

 

Interior Decorator

 

 

 

17,000

 

.33

 

 

 

 

 

 

 

 

 

 

 

 

 

4.

 

Louise B. Cullman
(“LBC”)

 

2 E. 70th St.
New York, N.Y.

 

Housewife

 

(65,000

)

38,410

 

.74

 

 

 

 

 

 

 

 

 

 

 

 

 

5.

 

Susan R. Cullman
(“SRC”)

 

812 Park Ave.
New York, NY
10021

 

Housewife

 

 

 

87,765

 

1.69

 

 

 

 

 

 

 

 

 

 

 

 

 

6.

 

Lucy C. Danziger
(“LCD”)

 

2 E. 73rd St.
New York, N.Y.

 

Housewife

 

(21,520

)

60,322

 

1.16

 

28




 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

7.

 

Frederick M.
Danziger
(“FMD”)

 

2 E. 73rd St.
New York, N.Y. 10021

 

Griffin Land & Nurseries, Inc.
President
One Rockefeller Plaza
Suite 2301
New York, New York

 

120,943

 

137,485

 

2.65

 

 

 

 

 

 

 

 

 

 

 

 

 

8.

 

David M. Danziger
(“DMD”)

 

115 Central Park West
NY, NY 10023

 

General Cigar Holdings
Executive Vice President
387 Park Avenue South
New York, New York

 

(9,700

)

31,848

 

.61

 

 

 

 

 

 

 

 

 

 

 

 

 

9.

 

Rebecca D. Gamzon
(“RDG”)

 

1165 Park Ave
Apt 15A
N.Y., N.Y. 10128

 

Housewife

 

(17,570

)

11,830

 

.23

 

 

 

 

 

 

 

 

 

 

 

 

 

10.

 

John L. Ernst
(“JLE”)

 

860 U.N. Towers
New York, N.Y. 10017

 

Chairman & President
Bloomingdale Properties, Inc.*
(Investments)
641 Lexington Avenue
New York, N.Y.

 

(600

)

5,400

 

.10

 

 

 

 

 

 

 

 

 

 

 

 

 

11.

 

Alexandra Ernst
(“AE”)

 

120 Bis Blvd.
Montpamesse
75014 Paris,
France

 

Writer

 

 

 

1,548

 

.03

 

 

 

 

 

 

 

 

 

 

 

 

 

12.

 

LCD, EMC, Jr. and
SRC,
Trustees
u/w/o Joseph F. Cullman, Jr.
f/b/o/:
EMC

 

 

 

 

 

 

 

76,448

 

1.47

 

 

 

 

 

 

 

 

 

 

 

 

 

13.

 

Carolyn S. Fabrici
(“CSF”)

 

P.O. Box 4708
42630 N. 54th St.
Cave Creek, AZ
85331

 

Housewife

 

 

 

23,858

 

.46

 

 

29




 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

14.

 

Alexander Ernst
f/b/o:
Cooper S. Siegel
    a minor

 

 

 

 

 

200

 

200

 

.00

 

 

 

 

 

 

 

 

 

 

 

 

 

15.

 

Caroline B. Sicher,
(“CBS”)

 

 

 

 

 

 

 

21,422

 

.41

 

 

 

 

 

 

 

 

 

 

 

 

 

16.

 

EMC and LBC, Trustees
u/i/o LBC (12/16/43)*
f/b/o:
    LCD

 

 

 

 

 

 

 

29,964

 

.58

 

 

 

 

 

 

 

 

 

 

 

 

 

17.

 

EMC, LBC and SRC,
Trustees
u/i/o Samuel J. Bloomingdale
(“SJB”) and
Rita G. Bloomingdale
(“RGB”) (1/10/50)*
f/b/o:
    SRC

 

 

 

 

 

 

 

50,880

 

.98

 

 

 

 

 

 

 

 

 

 

 

 

 

18.

 

EMC, LBC and SRC,
Trustees
u/i/o EMC and LBC
(3/21/50)*
f/b/o:
    SRC

 

 

 

 

 

 

 

18,714

 

.36

 

 

 

 

 

 

 

 

 

 

 

 

 

19.

 

EMC, LBC and LCD
Trustees
u/i/o SJB (12/21/50)*
f/b/o:
    LCD

 

 

 

 

 

 

 

29,192

 

.56

 

30




 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

20.

 

EMC, LBC and
EMC, Jr.
Trustees
u/i/o SJB (12/21/50)*
f/b/o:
    EMC, Jr.

 

 

 

 

 

 

 

25,006

 

.48

 

 

 

 

 

 

 

 

 

 

 

 

 

21.

 

EMC, LBC and SRC
Trustees
u/i/o SJB (12/21/50)*
f/b/o:
    SRC

 

 

 

 

 

 

 

26,000

 

.50

 

 

 

 

 

 

 

 

 

 

 

 

 

22.

 

EMC, LBC and LCD
Trustees
u/i/o RGB (12/21/50)*
f/b/o:

    LCD

 

 

 

 

 

 

 

5,418

 

.10

 

 

 

 

 

 

 

 

 

 

 

 

 

23.

 

EMC, LBC and
EMC, Jr.
Trustees
u/i/o RGB (12/21/50)*
f/b/o:
    EMC, Jr.

 

 

 

 

 

 

 

9,974

 

.19

 

 

 

 

 

 

 

 

 

 

 

 

 

24.

 

EMC, LBC and SRC
Trustees
u/i/o RGB (12/21/50)*
f/b/o:
    SRC

 

 

 

 

 

 

 

11,840

 

.22

 

 

 

 

 

 

 

 

 

 

 

 

 

25.

 

EMC, LBC and LCD
Trustees
u/i/o RGB (6/14/51)*
f/b/o:
    LCD

 

 

 

 

 

 

 

53,818

 

1.04

 

 

 

 

 

 

 

 

 

 

 

 

 

26.

 

EMC, LBC and
EMC, Jr.
Trustees
u/i/o RGB (6/14/51)*
f/b/o:
    EMC, Jr.

 

 

 

 

 

 

 

40,190

 

.77

 

31




 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

27.

 

EMC, LBC and SRC
Trustees u/i/o RGB
(6/14/51)*
f/b/o:
    SRC

 

 

 

 

 

 

 

40,090

 

.77

 

 

 

 

 

 

 

 

 

 

 

 

 

28.

 

LBC, Margot P. Ernst
(“MPE”), AE
and JLE, Trustees
u/i/o Susan B. Ernst
(“SBE”) (4/9/52)*
f/b/o:
    Descendants of JLE

 

 

 

 

 

 

 

4,364

 

.08

 

 

 

 

 

 

 

 

 

 

 

 

 

29.

 

LBC, JLE, AE and CSF,
Trustees
u/i/o SBE (4/9/52)*
f/b/o:
    Descendants of CSF

 

 

 

 

 

 

 

3,844

 

.08

 

 

 

 

 

 

 

 

 

 

 

 

 

30.

 

EMC, LCD, EMC, Jr. and
SRC Trustees
u/i/o LBC (1/6/53)*
f/b/o:
    Descendants of LCD
    Descendants of EMC, Jr.
    Descendants of SRC

 

 

 

 

 

 

 






10,400
38,976
26,284

 






.20
.75
.51

 

 

 

 

 

 

 

 

 

 

 

 

 

31.

 

LBC, MPE, AE and
JLE, Trustees
u/i/o SBE (1/6/53)*
f/b/o:
    Descendants of JLE

 

 

 

 

 

 

 

2,580

 

.05

 

 

 

 

 

 

 

 

 

 

 

 

 

32.

 

LBC, JLE, AE and CSF
Trustees
u/i/o SBE (1/6/53)*
f/b/o:
    Descendants of CSF

 

 

 

 

 

 

 

11,701

 

.23

 

32




 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

33.

 

EMC, LCD,
EMC, Jr. and SRC
Trustees
u/i/o LBC (6/30/54)*
f/b/o:
Descendants of LCD
Descendants of
EMC, Jr.
Descendants of SRC

 

 

 

 

 

 

 

25,944
49,502
35,878

 

.50
.95
.69

 

 

 

 

 

 

 

 

 

 

 

 

 

34.

 

LBC, CSF, AE
and JLE, Trustees
u/i/o SJB (12/21/50)*
f/b/o:
    Dorothy P. Ernst

 

 

 

 

 

 

 

3,974

 

.08

 

 

 

 

 

 

 

 

 

 

 

 

 

35.

 

LBC, CSF, AE
and JLE
Trustees
u/i/o RGB (12/21/50)*
f/b/o:
    Dorothy P. Ernst

 

 

 

 

 

 

 

3,974

 

.08

 

 

 

 

 

 

 

 

 

 

 

 

 

36.

 

LBC, LCD,
EMC, Jr. and
SRC Trustees
u/i/o EMC (3/23/55)*
f/b/o/:
Descendants of LCD
Descendants of
EMC, Jr.
Descendants of SRC

 

 

 

 

 

 

 

10,830
15,408
14,200

 

.21
.30
.27

 

 

 

 

 

 

 

 

 

 

 

 

 

37.

 

EMC, LCD, EMC, Jr. and
SRC Trustees
u/i/o LBC (3/23/55)*
Descendants of LCD
Descendants of
EMC, Jr.
Descendants of SRC

 

 

 

 

 

 

 

7,000
12,124
13,600

 

.13
.23
.26

 

 

 

 

 

 

 

 

 

 

 

 

 

38.

 

EMC, LBC,
EMC, Jr. and
LCD Trustees
u/i/o SJB (8/2/55)*
f/b/o:
    Descendants of LCD

 

 

 

 

 

 

 

24,400

 

.47

 

33




 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

39.

 

EMC, LBC, LCD
and EMC,
Jr. Trustees
u/i/o SJB (8/2/55)*
f/b/o:
Descendants of
EMC, Jr.

 

 

 

 

 

 

 

34,250

 

.66

 

 

 

 

 

 

 

 

 

 

 

 

 

40.

 

EMC, LBC,
LCD and SRC
Trustees
u/i/o SJB (8/2/55)*
f/b/o:
    Descendants of SRC

 

 

 

 

 

 

 

37,962

 

.73

 

 

 

 

 

 

 

 

 

 

 

 

 

41.

 

LBC, MPE,
AE and JLE
Trustees
u/i/o SJB (8/2/55)*
f/b/o:
    Descendants of JLE

 

 

 

 

 

 

 

3,194

 

.06

 

 

 

 

 

 

 

 

 

 

 

 

 

42.

 

EMC, LBC,
CSF, AE and
JLE
Trustees
u/i/o SJB (8/2/55)*
f/b/o:
    Descendants of CSF

 

 

 

 

 

 

 

3,526

 

.07

 

 

 

 

 

 

 

 

 

 

 

 

 

43.

 

EMC, LBC and LCD,
Trustees
u/w/o RGB (2/29/56)*
f/b/o:
    Descendants of LCD

 

 

 

 

 

 

 

19,228

 

.37

 

 

 

 

 

 

 

 

 

 

 

 

 

44.

 

EMC, LBC and
EMC, Jr.,
Trustees
u/w/o RGB (2/29/56)*
f/b/o:
Descendants of EMC, Jr.

 

 

 

 

 

 

 

20,332

 

.39

 

 

 

 

 

 

 

 

 

 

 

 

 

45.

 

EMC, LBC and SRC,
Trustees
u/w/o RGB (2/29/56)*
f/b/o:
    Descendants of SRC

 

 

 

 

 

 

 

17,190

 

.33

 

34




 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

46.

 

EMC, LBC, CSF,
    AE and JLE,
    Trustees
Trustees
(2/29/56)*
f/b/o:
    Descendants of
    JLE

 

 

 

 

 

 

 

39,138

 

.75

 

 

 

 

 

 

 

 

 

 

 

 

 

47.

 

EMC, LBC, JLE and
    CSF, Trustees
u/w/o RGB
(2/29/56)*
f/b/o:
    Descendants of
    CSF

 

 

 

 

 

 

 

39,138

 

.75

 

 

 

 

 

 

 

 

 

 

 

 

 

48.

 

Samuel J. Bloomingdale
     Foundation, Inc.*
     EMC, Chairman &
     Dir. LBC, President
     & Dir. EMC, Jr.,
     Treas. & Dir. LCD,
     Secretary

 

Charitable
Foundation

 

 

 

 

 

19,642

 

.37

 

 

 

 

 

 

 

 

 

 

 

 

 

49.

 

Richard C. Ernst
and Susan B. Ernst
Foundation, Inc.*
    JLE, Pres. & Dir.
    MPE, Vice Pres. &
    Dir. AE, Treas. &
    Dir. John Fletcher
    III, Secy.

 

 

 

 

 

(12,048

)

0

 

.00

 

 

 

 

 

 

 

 

 

 

 

 

 

50.

 

EMC, LBC and EMC, Jr.,
Trustees
u/w/o F.W. Cullman
(7/23/59)*
f/b/o:
        LCD
        EMC, Jr.
        SRC

 

 

 

 

 

 

 







17,420
13,770
20,014

 







.34
.26
.38

 

 

 

 

 

 

 

 

 

 

 

 

 

51.

 

EMC, LCD and FMD,
Trustees
u/i/o SJB (4/15/66)*
f/b/o:
        DMD

 

 

 

 

 

 

 





12,524

 





.24

 

35




 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

52.

 

FMD, LCD and EMC, Jr.,
u/i/o EMC (12/26/72)*
f/b/o:
        LCD and DMD
        LCD and RDG

 

 

 

 

 

 

 

17,800
18,000

 

.34
.35

 

 

 

 

 

 

 

 

 

 

 

 

 

53.

 

FMD, LCD, SRC and
EMC, Jr.
Trustees
u/i/o EMC (12/23/76)*
f/b/o:
        DMD
        RDG

 

 

 

 

 

 

 

16,000
16,200

 

.31
.31

 

 

 

 

 

 

 

 

 

 

 

 

 

54.

 

FMD, SRC, EMC, Jr.,
and JLE, Trustees
u/i/o LCD (12/25/76)*
f/b/o:
        DMD
        RDG

 

 

 

 

 

 

 

3,200
3,200

 

.06
.06

 

 

 

 

 

 

 

 

 

 

 

 

 

55.

 

Richard M. Danziger and FMD, Trustees
u/i/o LCD (12/24/69)*
f/b/o:
        RDG

 

 

 

 

 

 

 






22,800

 






.44

 

 

 

 

 

 

 

 

 

 

 

 

 

56.

 

LBC, MPE, AE and JLE,
Trustees
u/i/o RGB (6/14/51)*
f/b/o:
        JLE

 

 

 

 

 

 

 

3,081

 

.06

 

 

 

 

 

 

 

 

 

 

 

 

 

57.

 

LCD, SRC, JLE and
Elissa Cullman, Trustees,
u/i/o EMC, Jr.
(12/25/76)*
f/b/o:
        EMC III
        SBC

 

 

 

 

 

 

 

7,200
7,200

 

.14
.14

 

36




 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

58.

 

EMC, Jr., SRC, LCD and
Elissa Cullman, Trustees,
u/i/o EMC (12/23/76)*
f/b/o:
        EMC III
        SBC

 

 

 

 

 

 

 

20,400
20,400

 

.39
.39

 

 

 

 

 

 

 

 

 

 

 

 

 

59.

 

EMC, Jr., SRC, LCD and
    FMD
Trustees
u/i/o EMC (12/23/76)*
        GDC

 

 

 

 

 

 

 

20,000

 

.39

 

 

 

 

 

 

 

 

 

 

 

 

 

60.

 

LCD, EMC, Jr., John
Sicher and JLE, Trustees,
u/i/o SRC (12/25/76)*
f/b/o:
        CBS

 

 

 

 

 

 

 

14,000

 

.27

 

 

 

 

 

 

 

 

 

 

 

 

 

61.

 

EMC, Jr., LCD, SRC and
John Sicher, Trustees,
u/i/o EMC (12/23/76)*
f/b/o:
        CBS

 

 

 

 

 

 

 

16,000

 

.31

 

 

 

 

 

 

 

 

 

 

 

 

 

62.

 

FMD and R.M. Danziger,
Trustees
u/i/o Elsie B. Paskus
f/b/o:
        R.M. Danziger

 

 

 

 

 

 

 

3,000

 

.06

 

 

 

 

 

 

 

 

 

 

 

 

 

63.

 

FMD and R.M. Danziger
Trustees
u/i/o Elsie B. Paskus
f/b/o:
        FMD

 

 

 

 

 

 

 

33,600

 

.64

 

 

 

 

 

 

 

 

 

 

 

 

 

64.

 

B. Bros. LLC 
JLE, Co Managing Member
SRC, Co Managing Member

 

 

 

 

 

 

 

233,792

 

4.50

 

37




 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

65.

 

EMC, EMC, Jr.
SRC and
Richard W. Dammann,
Executors of the
Estate of
Justus Heijmans

 

 

 

 

 

 

 

202

 

.00

 

 

 

 

 

 

 

 

 

 

 

 

 

66.

 

JLE, FMD and Roger
Bloom (“RB”),
Trustees
u/a/o SBE (4/19/81)
u/w/o SBE Appointment
u/i/o RBG (11/27/31)*
f/b/o:
    Descendants of JLE

 

 

 

 

 

 

 

7,458

 

.14

 

 

 

 

 

 

 

 

 

 

 

 

 

67.

 

LBC, JLE, AE and CSF,
Trustees
u/i/o SJB (12/21/50)*
f/b/o:
        CSF

 

 

 

 

 

 

 

1,515

 

.03

 

 

 

 

 

 

 

 

 

 

 

 

 

68.

 

LBC, JLE, AE and CSF
Trustees
u/i/o RGB (6/14/51)*
f/b/o:
        CSF

 

 

 

 

 

 

 

1,400

 

.03

 

 

 

 

 

 

 

 

 

 

 

 

 

69.

 

JLE, EMC, Jr. and Roger
Bloom, Trustees
u/a/o SBE (4/19/81)
u/w/o SBE Appointment
u/i/o RGB (11/27/31)*
f/b/o:
    Descendants of CSF

 

 

 

 

 

 

 

2,000

 

.04

 

 

 

 

 

 

 

 

 

 

 

 

 

70.

 

Matthew L. Ernst

 

462 Broome Street
N.Y, N.Y. 10013

 

 

 

 

 

1,250

 

.02

 

 

 

 

 

 

 

 

 

 

 

 

 

71.

 

JLE, MPE, CSF, FMD
and EMC, Jr.,
Trustees
u/c/o/w Richard C. Ernst,
(6/19/84)
f/b/o:
    Benjamin C. Stewart

 

 

 

 

 

 

 

5,996

 

.12

 

38




 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

72.

 

Jessica P. Ernst

 

 

 

 

 

 

 

1,250

 

.02

 

 

 

 

 

 

 

 

 

 

 

 

 

73.

 

Charitable Trust created
by Justus Heijmans,*
EMC and EMC, Jr.,
Trustees

 

 

 

 

 

 

 

200

 

.00

 

 

 

 

 

 

 

 

 

 

 

 

 

74.

 

LBC, JLE, MPE and AE,
Trustee
u/i/o RGB (12/21/50)*
f/b/o:
    JLE

 

 

 

 

 

 

 

1,100

 

.02

 

 

 

 

 

 

 

 

 

 

 

 

 

75.

 

JLE, as Guardian
f/b/o:
    DPE

 

 

 

 

 

 

 

2,679

 

.05

 

 

 

 

 

 

 

 

 

 

 

 

 

76.

 

JLE, LBC, EMC,
CSF and
AE, Trustees
u/c/w/o RGB (2/29/56)*
f/b/o:
    Descendants of JLE

 

 

 

 

 

 

 

4,746

 

.09

 

 

 

 

 

 

 

 

 

 

 

 

 

77.

 

Chase Bank
and LBC,
Trustees
u/i/o RGB (11/27/31)*
f/b/o:
    LBC

 

 

 

 

 

 

 

30,000

 

.58

 

 

 

 

 

 

 

 

 

 

 

 

 

78.

 

Louise B. & Edgar M.
Cullman Foundation,
Inc.*
EMC, Chairman of the
Board
SRC, President|
LBC, Vice President
EMC, Jr., Treasurer
LCD, Secretary

 

Charitable
Foundation

 

 

 

130,000

 

136,400

 

2.63

 

 

 

 

 

 

 

 

 

 

 

 

 

79.

 

Edgar M. Cullman, III
    (EMC,III)

 

 

 

Producer

 

 

 

18,794

 

.36

 

39




 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

80.

 

Samuel B. Cullman

 

 

 

 

 

 

 

13,594

 

.26

 

 

 

 

 

 

 

 

 

 

 

 

 

81.

 

FMD and
R. M. Danziger
Trustees
u/w/o Elsie B. Paskus
f/b/o
     FMD Family

 

 

 

 

 

 

 

30,000

 

.58

 

 

 

 

 

 

 

 

 

 

 

 

 

82.

 

Rebecca Gamzon
f/b/o
Andrew Gamzon
a minor (“AG”)

 

Custodian

 

 

 

15,065

 

16,611

 

.32

 

 

 

 

 

 

 

 

 

 

 

 

 

83.

 

Rebecca Gamzon
t/b/o
Sarah Gamzon
a minor

 

 

 

 

 

13,265

 

13,265

 

.26

 

40




 

 

 

 

 

(3)

 

 

 

 

 

 

 

 

 

 

Present principal

 

 

 

 

 

 

 

 

 

 

occupation or employment

 

Number of shares

 

Total number of

 

 

 

 

 

 

and the name, principal

 

of Issuer’s

 

shares of the

 

 

 

 

 

 

business and address of any

 

Common Stock

 

Issuer’s Common

 

 

(1)

 

 

(2)

 

 

corporation or other

 

acquired or

 

Stock ($1 par

 

Percentage of

Name

 

Residence

 

organization in which such

 

disposed of since

 

value) owned on

 

Class of Issuer’s

(Item 2(a)

 

Address

 

employment is conducted.

 

July 3,1999

 

the date hereof

 

Common Stock.

and 5)

 

(Item 2(b))

 

(Item 2(c))

 

(i)

 

(ii)

 

(iii)

84.

 

David M. Danziger
f/b/o Sunaina Danziger
a minor

 

 

 

 

 

10,230

 

10,230

 

.02

 

 

 

 

 

 

 

 

 

 

 

 

 

85.

 

David M. Danziger
f/b/o Sameena Danziger
a minor

 

 

 

 

 

10,230

 

10,230

 

.02

 

 

 

 

 

 

 

 

 

 

 

 

 

86.

 

Mathew Ernst
f/b/o Jonah Ernst
a minor

 

 

 

 

 

200

 

200

 

.00

 

 

 

 

 

 

 

 

 

 

 

 

 

87.

 

Mathew Ernst
f/b/o Odessa Ernst
a minor

 

 

 

 

 

200

 

200

 

.00

 

 

 

 

 

 

 

 

 

 

 

 

 

88.

 

Georgina Cullman

 

 

 

 

 

 

 

9,550

 

.18

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

TOTAL

 

 

 

2,529,156

 

48.72

 

*                    Business Address:  641 Lexington Avenue, New York, NY  10022

41