-----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, SGMqFTJd/oaJYL3lNOeYzfmo6pdK0f5VBqUVwfmHoILJxofVarUDW4mVOzlDzgsq PhfSwC8CwlrQCe+VJblIsg== /in/edgar/work/0000950135-00-004750/0000950135-00-004750.txt : 20001030 0000950135-00-004750.hdr.sgml : 20001030 ACCESSION NUMBER: 0000950135-00-004750 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20001027 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AXSYS TECHNOLOGIES INC CENTRAL INDEX KEY: 0000206030 STANDARD INDUSTRIAL CLASSIFICATION: [3621 ] IRS NUMBER: 111962029 STATE OF INCORPORATION: DE FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-06258 FILM NUMBER: 747238 BUSINESS ADDRESS: STREET 1: 910 SYLVAN AVE CITY: ENGLEWOOD CLIFFS STATE: NJ ZIP: 07632 BUSINESS PHONE: 2018711500 MAIL ADDRESS: STREET 2: 910 SYLVAN AVE CITY: ENGLEWOOD CLIFFS STATE: NJ ZIP: 07632 FORMER COMPANY: FORMER CONFORMED NAME: VERNITRON CORP DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BY ANDRE BERNARD CENTRAL INDEX KEY: 0001126867 STANDARD INDUSTRIAL CLASSIFICATION: [ ] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: AXSYS TECHNOLOGIES 2-C GILL STREET CITY: WOBURN STATE: MA ZIP: 01801 BUSINESS PHONE: 7819387675 SC 13G 1 b37204axsc13g.txt ANDRE BERNARD BY/AXSYS TECHNOLOGIES, INC. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.____)* Axsys Technologies, Inc. ------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value per share ------------------------------------------------------- (Title of Class of Securities) 054615 10 9 ------------------------------------------------------- (CUSIP Number) October 18, 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) * 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). 2 CUSIP No. 054615 10 9 - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Andre Bernard By ............................................ - -------------------------------------------------------------------------------- 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 5. SOLE VOTING POWER 353,568 SHARES ........................ BENEFICIALLY ---------------------------------------------------- OWNED BY 6. SHARED VOTING POWER 0 EACH ........................ REPORTING ---------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER 318,212 WITH ...................... ---------------------------------------------------- 8. SHARED DISPOSITIVE POWER 0 ................... - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 353,568 .............. - -------------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)........................ - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.4% ................. - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (See Instructions) - -------------------------------------------------------------------------------- IN ................................................................................ ................................................................................ ................................................................................ ................................................................................ ................................................................................ ................................................................................ - ------------------------------------------------------------------------------- INSTRUCTIONS FOR SCHEDULE 13G Instructions for Cover Page 3 SCHEDULE 13G ITEM 1: (a) Name of Issuer: Axsys Technologies, Inc. ( the "Issuer") (b) Address of Issuer's Principal Executive Offices: 175 Capital Blvd., Suite 103 Rocky Hill, Connecticut 06067 ITEM 2: (a) Name of Person Filing: Andre Bernard By (b) Address of Principal Business Office, or if none, Residence: 2-C Gill Street Woburn, MA 01801 (c) Citizenship: United States (d) Title of Class of Securities: Common Stock, $.01 par value per share (e) CUSIP Number: 054615 10 9 ITEM 3: If this Statement is filed pursuant to Section 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a)[ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b)[ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c)[ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d)[ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e)[ ] An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); (f)[ ] An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(l)(ii)(F); (g)[ ] A parent holding company or control person in accordance with Section 240.13d-1(b)(l)(ii)(G); (h)[ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i)[ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j)[ ] Group, in accordance with Section 240.13d-1(b)(l)(ii)(J). ITEM 4: OWNERSHIP: (a) Amount beneficially owned: 353,568 (b) Percent of class: 7.4% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 353,568 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 318,212 (iv) Shared power to dispose or to direct the disposition of: 0 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 [ ]. ITEM 6: OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON An escrow agent may receive and direct receipt of dividends from, or proceeds from the sale of, 35,356 of the securities referenced herein, pursuant to an Escrow Agreement between, among others, the Issuer and Mr. By. ITEM 7: IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY N/A ITEM 8: IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP N/A ITEM 9: NOTICE OF DISSOLUTION OF GROUP N/A 4 ITEM 10: CERTIFICATION (a) The following certification shall be included if the statement is filed pursuant to Section 240.13d-l(b): N/A (b) The following certification shall be included if the statement is filed pursuant to Section 240.13d-l(c): 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. 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. Date: October 24, 2000 /s/ Andre Bernard By -------------------------- Andre Bernard By -----END PRIVACY-ENHANCED MESSAGE-----