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PRINCIPAL FINANCIAL GROUP INC — Major Shareholding Notification 2011
Jan 24, 2011
30322_mrq_2011-01-24_e04c9c04-99b8-47e8-90a7-67179770eec9.zip
Major Shareholding Notification
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CUSIP No. 703395103 13G/A Page 1 of 5 Pages
| UNITED STATES |
|---|
| SECURITIES AND EXCHANGE COMMISSION |
| Washington, D.C. 20549 |
| SCHEDULE 13G/A |
| Under the Securities Exchange Act of 1934 |
| (Amendment No. 3)* |
|---|
| Patterson Companies, Inc. |
| ( Name of Issuer) |
| Common Stock, $0.01 par value |
| (Title of Class of Securities) |
| 703395103 |
| (CUSIP Number) |
| December 31, 2010 |
| (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) |
| *The remainder of this cover page shall be filled out for a reporting persons 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 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). |
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CUSIP No. 703395103 13G/A Page 2 of 5 Pages
| 1. |
|---|
| I.R.S. Identification No. of above persons (entities only). |
| Delaware Charter Guarantee & Trust Company dba Principal Trust Company as |
| Trustee for the Patterson Companies, Inc. Employee Stock Ownership Plan, IRS No. |
| 51-0099493. |
| 2. |
|---|
| (a) ¨ |
| (b) ¨ |
- SEC Use Only
| 4. |
|---|
| Delaware |
| Number of Shares Beneficially Owned by Each Reporting Person With: | |
|---|---|
| 5. Sole Voting Power: | |
| 0 | |
| Number of | 6. Shared Voting Power: |
| Shares | 19,156,115 |
| Beneficially | 7. Sole Dispositive Power: |
| Owned By | 0 |
| Each | 8. Shared Dispositive Power: |
| Reporting | 19,156,115 |
| Person With: | |
| 9. Aggregate Amount Beneficially owned by Each Reporting Person | |
| 19,156,115 | |
| 10. Check if Aggregate Amount in Row (9) Excludes Certain Shares: | |
| ¨ | |
| 11. Percent of Class Represented by Amount in Row (9): | |
| 15.57% | |
| 12. Type of Reporting Person: | |
| EP |
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CUSIP No. 703395103 13G/A Page 3 of 5 Pages
| Item 1. | |
|---|---|
| (a) Name of Issuer: | Patterson Companies, Inc. |
| (b) Address of Issuers Principal Executive Offices: | 1031 Mendota Heights Road |
| Saint Paul, MN 55120-1419 | |
| Item 2. | |
| (a) (c) Name, Principal Business Address and Citizenship of Person Filing: | |
| Delaware Charter Guarantee & Trust Company dba Principal Trust Company as Trustee | |
| for the Patterson Companies, Inc. Employee Stock Ownership Plan | |
| 1013 Centre Road | |
| Wilmington, Delaware 19805 | |
| Citizenship: | Delaware |
| (d) Title of Class of Securities: | Common Stock, $0.01 par value |
| (e) CUSIP Number: | 703395103 |
| Item 3. If this statement is filed pursuant to Rule 13D-1(b) or 13D-2(b) or (c), check whether the | |
| person filing is a: | |
| (f) x An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); | |
| Item 4. Ownership - Provide the following information regarding the aggregate number and | |
| percentage of the class of securities of the issuer identified in Item 1. | |
| (a) The Patterson Companies, Inc. Employee Stock Ownership Plan (Plan) is subject to the | |
| Employee Retirement Income Security Act of 1974 (ERISA). Delaware Charter Guarantee | |
| & Trust Company dba Principal Trust Company acts as the Trustee of the Patterson | |
| Companies, Inc. Employee Stock Ownership Plan Trust (Trust). As of December 31, 2010, | |
| the Plan held 19,156,115 shares of the Issuers common stock. The securities reported | |
| include all shares held of record by the Trustee. The Trustee follows the directions of the | |
| Employer, Patterson Companies (the Employer), or other parties designated in the trust | |
| agreement between the Employer and the Trustee, with respect to voting and disposition of | |
| shares. The Trustee, however, is subject to fiduciary duties under ERISA. The Trustee | |
| disclaims beneficial ownership of the shares of common stock that are the subject of this | |
| Schedule 13G. | |
| (b) The 19,156,115 shares of common stock represent 15.57% of the Issuers outstanding shares | |
| of common stock. The percent of class is based on shares outstanding as of December 31, | |
| 2010, as provided by the Issuer. |
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CUSIP No. 703395103 13G/A Page 4 of 5 Pages
| (c) Number of shares as to which such person has: | |
|---|---|
| (i) | Sole power to vote or direct the vote: 0 |
| (ii) | Shared power to vote or direct the vote: 19,156,115 |
| (iii) | Sole power to dispose or direct the disposition of: 0 |
| (iv) | Shared power to dispose or direct the disposition of: 19,156,115 |
| Item 5. Ownership of Five Percent or Less of 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 | |
| By signing below I certify that, to the best of my knowledge and belief, the securities referred to above | |
| were acquired and are held in the ordinary course of business and were not acquired and are not held | |
| for the purpose of or with the effect of having or influencing the control of the issuer of the securities | |
| and are not acquired and are not held in connection with or as a participant in any transaction having | |
| that purpose or effect. |
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CUSIP No. 703395103 13G/A 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. |
| Delaware Charter Guarantee & Trust Company |
|---|
| /s/ Kristin M. Camp_____ |
| Kristin M. Camp |
| Vice President, Operations |
| January 24, 2011 |
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