-----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, AmRcyXofGtFFQdq58V1mak/jF9PUMwG+Gi8Mm7y39OoPLHJkajRDpIKP8riRd0nJ JSOmTIaSwhzwnx0Z546+jg== 0001005477-98-000916.txt : 19980327 0001005477-98-000916.hdr.sgml : 19980327 ACCESSION NUMBER: 0001005477-98-000916 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980326 SROS: NASD GROUP MEMBERS: AXSYS TECHNOLOGIES INC GROUP MEMBERS: LOUIS D. MATTIELLI GROUP MEMBERS: RAYMOND F. KUNZMANN 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: 98574757 BUSINESS ADDRESS: STREET 1: 645 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125937900 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 645 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: VERNITRON CORP DATE OF NAME CHANGE: 19920703 FILED BY: 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 BUSINESS ADDRESS: STREET 1: 645 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125937900 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE STREET 2: 645 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: VERNITRON CORP DATE OF NAME CHANGE: 19920703 SC 13G/A 1 AMENDMENT NUMBER 4 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Under the Securities Exchange Act of 1934 (Amendment No. 4)(1) AXSYS TECHNOLOGIES, INC. ---------------------------------------------------- (Name of Issuer) Common Stock ---------------------------------------------------- (Title of Class of Securities) 054615109 ---------------------------------------------------- (CUSIP Number) (1) 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. 054615109 - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Axsys Technologies, Inc. 401(k), Retiremenet Plan - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group a. |_| b. |_| - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 5 Sole Voting Power Number of Shares 0 Beneficially -------------------------------------------------------- Owned By 6 Shared Voting Power Each Reporting 229,326 Person -------------------------------------------------------- With 7 Sole Dispositive Power 0 -------------------------------------------------------- 8 Shared Dispositive Power 229,326 -------------------------------------------------------- - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 229,326 - -------------------------------------------------------------------------------- 10 Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares |_| - -------------------------------------------------------------------------------- 11 Percent of Class Represented By Amount in Row (9) 5.57% - -------------------------------------------------------------------------------- 12 Type of Reporting Person EP - -------------------------------------------------------------------------------- SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 054615109 - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Louis D. Mattielli, as Co-Trustee under Axsys Technologies, Inc. 401(k) Retirement Plan - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group a. |_| b. |_| - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization American - -------------------------------------------------------------------------------- 5 Sole Voting Power Number of Shares 0 Beneficially -------------------------------------------------------- Owned By 6 Shared Voting Power Each Reporting 229,326 Person -------------------------------------------------------- With 7 Sole Dispositive Power 0 -------------------------------------------------------- 8 Shared Dispositive Power 229,326 -------------------------------------------------------- - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 229,326 - -------------------------------------------------------------------------------- 10 Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares |_| - -------------------------------------------------------------------------------- 11 Percent of Class Represented By Amount in Row (9) 5.57% - -------------------------------------------------------------------------------- 12 Type of Reporting Person EP - -------------------------------------------------------------------------------- SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 054615109 - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Raymond F. Kunzmann, as Co-Trustee under Axsys Technologies, Inc. 401(k) Retirement Plan - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group a. |_| b. |_| - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization American - -------------------------------------------------------------------------------- 5 Sole Voting Power Number of Shares 0 Beneficially -------------------------------------------------------- Owned By 6 Shared Voting Power Each Reporting 229,326 Person -------------------------------------------------------- With 7 Sole Dispositive Power 0 -------------------------------------------------------- 8 Shared Dispositive Power 229,326 -------------------------------------------------------- - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 229,326 - -------------------------------------------------------------------------------- 10 Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares |_| - -------------------------------------------------------------------------------- 11 Percent of Class Represented By Amount in Row (9) 5.57% - -------------------------------------------------------------------------------- 12 Type of Reporting Person EP - -------------------------------------------------------------------------------- SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1(a) Name of Issuer: Axsys Technologies, Inc. Item 1(b) Address of Issuer's Principal Office: 910 Sylvan Avenue suite 180 Englewood Cliffs, New Jersey 07632 Item 2(a) Name of Persons Filing: (i) Axsys Technologies, Inc. 401(k) Retirement Plan (the "Plan") (ii) Louis D. Mattielli, as Co-Trustee under Axsys Technologies, Inc. 401(k) Retirement Plan (iii) Raymond F. Kunzmann, as Co-Trustee under Axsys Technologies, Inc. 401(k) Retirement Plan Item 2(b) Address of Principal Business Office, or, if none, Residence: 910 Sylvan Avenue Englewood Cliffs, New Jersey 07632 Item 2(c) Citizenship: (i) Delaware (ii) American (iii) American Item 2(d) Title of Class of Securities: Common Stock, par value $.01 per share Item 2(e) CUSIP Number 054615109 Item 3. If this statement is filed pursuant to ss.ss. 240.13d-1(b) or 240.13d-2(b) or (c), check whether the filing person 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 ss. 240.13d-1(b)(1)(ii)(E); (f) |X| An employee benefit plan or endowment fund in accordance with ss. 240.13d-1(b)(1)(ii)(F); (g) |_| a parent holding company or control person in accordance with ss. 240.13d-1(b)(1)(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 executed 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 ss. 240.13d-1(b)(1)(ii)(J); If this statement is filed pursuant to ss. 240.13d-l(c) check this box |_|. Item 4 Ownership: (a) Amount Beneficially Owned as of December 31, 1997: 229,326 (b) Percent of Class: 5.57% (c) Number of shares as to which person has (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote: 229,326 (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: 229,326 Item 5 Ownership of Five Percent or Less of a Class Not Applicable Page 6 of 8 Pages 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 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 7 of 8 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. Date: March 26 1998 Axsys Technologies, Inc. 401(k) Retirement Plan by: /s/ Louis D. Mattielli ----------------------------------------------- Louis D. Mattielli, as Co-Trustee under Axsys Technologies, Inc. 401(k) Retirement Plan by: /s/ Raymond F. Kunzmann ----------------------------------------------- Raymond F. Kunzmann, as Co-Trustee under Axsys Technologies, Inc. 401(k) Retirement Plan by: /s/ Louis D. Mattielli ----------------------------------------------- Louis D. Mattielli, as Co-Trustee under Axsys Technologies, Inc. 401(k) Retirement Plan by: /s/ Raymond F. Kunzmann ----------------------------------------------- Raymond F. Kunzmann, as Co-Trustee under Axsys Technologies, Inc. 401(k) Retirement Plan Page 8 of 8 Pages -----END PRIVACY-ENHANCED MESSAGE-----