-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MOVJpYul/AMBYT4xQg//ROOtHezYzV6i7jcvUw9t4/fuSvVgILUZX3yUs5eQbSkF P4iNRKJuFcMbyFrKwZMFCg== 0000927016-01-000771.txt : 20010214 0000927016-01-000771.hdr.sgml : 20010214 ACCESSION NUMBER: 0000927016-01-000771 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010213 GROUP MEMBERS: AMERICAN OPPORTUNITY TRUST PLC GROUP MEMBERS: CHRISTOPHER HARWOOD BERNARD MILLS GROUP MEMBERS: J O HAMBRO CAPITAL MANAGEMENT (HOLDING) LTD GROUP MEMBERS: J O HAMBRO CAPITAL MANAGEMENT LTD GROUP MEMBERS: TRIDENT NORTH ATLANTIC FUND SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AXSYS TECHNOLOGIES INC CENTRAL INDEX KEY: 0000206030 STANDARD INDUSTRIAL CLASSIFICATION: MOTORS & GENERATORS [3621] IRS NUMBER: 111962029 STATE OF INCORPORATION: DE FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-06258 FILM NUMBER: 1538551 BUSINESS ADDRESS: STREET 1: 175 CAPITAL BLVD SUITE 103 CITY: ROCKY HILL STATE: CT ZIP: 06067 BUSINESS PHONE: 2018711500 MAIL ADDRESS: STREET 1: 175 CAPITAL BLVD SUITE 103 CITY: ROCKY HILL STATE: CT ZIP: 06067 FORMER COMPANY: FORMER CONFORMED NAME: VERNITRON CORP DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: J O HAMBRO CAPITAL MANAGEMENT LTD CENTRAL INDEX KEY: 0000940755 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: X0 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 10 PARK PLACE CITY: LONDON STATE: X0 MAIL ADDRESS: STREET 1: 10 PARK PLACE STREET 2: SW1A1LP CITY: LONDON STATE: X0 FORMER COMPANY: FORMER CONFORMED NAME: HAMBRO J O & PARTNERS LTD DATE OF NAME CHANGE: 19960206 SC 13G/A 1 0001.txt 13G/A AMENDMENT #1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13D-2(b) (AMENDMENT NO. 1)* AXSYS TECHNOLOGIES, INC. ________________________________________________________________ (Name of issuer) Common Stock, par value $.01 per share ________________________________________________________________ (Title of class of securities) 054615109 ------------------------- (CUSIP number) December 31, 2000 _______________________________________________________ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [x] Rule 13d-1(c) [_] Rule 13d-1(d) --------------------- -------------------- CUSIP NO. 054615109 13G Page 2 of 14 pages --------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) J O Hambro Capital Management (Holdings) Limited No. I.R.S. Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 England - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 0 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)* 12 HC, CO - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS BEFORE FILLING OUT! --------------------- -------------------- CUSIP NO. 054615109 13G Page 3 of 14 pages --------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) J O Hambro Capital Management Limited No. I.R.S. Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 England - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 0 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IA, CO - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS BEFORE FILLING OUT! --------------------- -------------------- CUSIP NO. 054615109 13G Page 4 of 14 pages --------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) American Opportunity Trust plc No. I.R.S. Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 England - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 0 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IV, CO - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS BEFORE FILLING OUT! --------------------- -------------------- CUSIP NO. 054615109 13G Page 5 of 14 pages --------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON. 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Christopher Harwood Bernard Mills No. I.R.S. Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 England - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 0 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS BEFORE FILLING OUT! --------------------- -------------------- CUSIP NO. 054615109 13G Page 6 of 14 pages --------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON. 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Trident North Atlantic Fund No. I.R.S. Identification Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Cayman Islands - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 0 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IV, CO - ------------------------------------------------------------------------------ * SEE INSTRUCTIONS BEFORE FILLING OUT! AMENDMENT NO. 1 TO ------------------ STATEMENT ON SCHEDULE 13G ------------------------- This Amendment No. 1 to Statement on Schedule 13G is filed on behalf of the parties to the Joint Filing Agreement (the "Filing Parties"), dated as of May 26, 2000, as previously filed with the Securities and Exchange Commission (the "SEC"). This Amendment amends and restates Items 1 through 10 of the Statement on Schedule 13G filed with the SEC on May 26, 2000. ITEM 1(A). NAME OF ISSUER: -------------- Axsys Technologies, Inc. (the "Company"). ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: ----------------------------------------------- 910 Sylvan Avenue, Englewood Cliffs, New Jersey 07632. ITEM 2(A). NAME OF PERSON FILING: --------------------- This Statement is filed on behalf of the following five persons, who are collectively referred to as the "Filing Parties": 1. J O Hambro Capital Management (Holdings) Limited ("Holdings") is a corporation organized under the laws of England with its principal office and business at Ryder Court, 14 Ryder Street, London SW1Y 6QB, England. Holdings functions as the ultimate holding company for J O Hambro Capital Management. 2. J O Hambro Capital Management Limited ("J O Hambro Capital Management"), formerly named J O Hambro & Partners Limited, is a corporation organized under the laws of England with its principal office and business at Ryder Court, 14 Ryder Street, London SW1Y 6QB, England. J O Hambro Capital Management is principally engaged in the business of investment management and advising. It serves as co-investment adviser to NASCIT and American Opportunity Trust and as investment adviser to Oryx and investment manager to certain private clients. 3. Christopher Harwood Bernard Mills is a British citizen whose business address is Ryder Court, 14 Ryder Street, London SW1Y 6QB, England. His principal employment includes service as executive director of NASCIT, as a director of J O Hambro Capital Management, Trident North Atlantic and Oryx, and as co-investment adviser to NASCIT and American Opportunity Trust. 4. American Opportunity Trust plc ("American Opportunity Trust"), formerly named Leveraged Opportunity Trust plc, is a corporation organized under the laws of England with its principal office and business at Ryder Court, 14 Ryder Street, London SW1Y 6QB, England. American Opportunity Trust is a publicly-held investment trust company. Christopher Harwood Bernard Mills and J O Hambro Capital Management serve as co-investment advisers to American Opportunity Trust. Page 7 of 14 Pages 5. The Trident North Atlantic Fund ("Trident North Atlantic") is an open-ended investment Company incorporated in the Cayman Islands with its principal office and business at P.O. Box 309 Ugland House, George Town, Grand Cayman, Cayman Islands. Trident North Atlantic is a publicly-held regulated Mutual Fund. Christopher Harwood Bernard Mills serves as a director of Trident North Atlantic and J O Hambro Capital Management serves as an investment adviser to Trident North Atlantic. ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: ----------------------------------------------------------- The principal business address of the Filing Parties is c/o J O Hambro Capital Management Limited, Ryder Court, 14 Ryder Street, London SW1Y 6QB, England. ITEM 2(C). CITIZENSHIP: ----------- England ITEM 2(D). TITLE OF CLASS OF SECURITIES: ---------------------------- Common Stock, par value $.01 per share. ITEM 2(E). CUSIP NUMBER: ------------ 054615109 ITEM 3. IF THE STATEMENT IS FILED PURSUANT TO RULES 13D-1(B) OR 13D-2(B), ----------------------------------------------------------------- CHECK WHETHER THE PERSON FILING IS A: ------------------------------------ Not Applicable. ITEM 4. OWNERSHIP: --------- The aggregate number and percentage of the outstanding Common Stock of the Company beneficially owned by each of the Filing Parties as of December 31, 2000 are as follows:
Number of Number of Number of Shares: Shares: Sole Aggregate Shares: Sole Shared or Shared Filing Numer of Power to Power to Power to Approximate Party Shares Vote Vote Dispose Percentage* - ---------------------------------------------------------------------------------------- Holdings 0 0 0 0 0% J O Hambro Capital 0 0 0 0 0% Management Christopher H.B. Mills 0 0 0 0 0% American Opportunity 0 0 0 0 0% Trust Trident North Atlantic 0 0 0 0 0% - ----------------------------------------------------------------------------------------
* Based on 4,660,206 shares of Common Stock, par value $.01 per share, outstanding as of November 6, 2000, which is based on information reported in the Company's Quarterly Report on Form 10-Q for the period ended September 30, 2000. Page 8 of 14 Pages ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: -------------------------------------------- If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: --------------------------------------------------------------- As co-investment advisers to American Opportunity Trust, Christopher Harwood Bernard Mills and J O Hambro Capital Management share the right to transfer and vote the shares of Common Stock of the Company pursuant to an agreement dated as of January 7, 1993 between American Opportunity Trust and J O Hambro Capital Management. As investment manager for certain of its private clients, J O Hambro Capital Management has the right to transfer and vote the shares of Common Stock of the Company pursuant to either agreements or arrangements entered into with such private clients. 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: --------------------------------------------------------- See Item 2(a). 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 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 9 of 14 Pages 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. Dated: February 13, 2001 J O HAMBRO CAPITAL MANAGEMENT LIMITED By: /S/ R.G. BARRETT ---------------------------------------- Name: R. G. Barrett Title: Director Executed on behalf of the parties hereto pursuant to the Joint Filing Agreement, as filed herewith. Page 10 of 14 Pages EXHIBITS The following documents are filed herewith: (a) Joint Filing Agreement dated as of May 26, 2000 among Holdings, J O Hambro Capital Management, American Opportunity Trust, Christopher Harwood Bernard Mills and Trident North Atlantic. Page 11 of 14 Pages JOINT FILING AGREEMENT Page 12 of 14 Pages JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G dated May 26, 2000 with respect to the shares of Common Stock, $0.01 par value, of Axsys Technologies, Inc. and any further amendments thereto executed by each or any of us shall be filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. This Agreement may be executed in separate counterparts, each of which shall be deemed an original, but all of which shall constitute one and the same instrument. Date: May 26, 2000 J O HAMBRO CAPITAL MANAGEMENT LIMITED By: /S/ R. G. Barrett ------------------------------ Name: R. G. Barrett Title: Director Date: May 26, 2000 J O HAMBRO & CAPITAL MANAGEMENT (HOLDINGS) LIMITED By: /S/ R. G. Barrett ------------------------------ Name: R. G. Barrett Title: Director Date: May 26, 2000 AMERICAN OPPORTUNITY TRUST PLC By: J O Hambro Capital Management Limited, Its investment advisor By: /S/ R. G. Barrett ------------------------------ Name: R. G. Barrett Title: Director Date: May 26, 2000 CHRISTOPHER H. B. MILLS By: /S/ C. H. B. Mills ----------------------------- Page 13 of 14 Pages Date: May 26, 2000 THE TRIDENT NORTH ATLANTIC FUND By: J O Hambro Capital Management Limited, Its investment advisor By: /S/ R. G. Barrett ----------------------------------- Name: R. G. Barrett Title: Director Page 14 of 14 Pages -----END PRIVACY-ENHANCED MESSAGE-----