-----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, VNKgRn9AKDqHS4IuI4mDIxs4UzK4OCEwF2ljUXIOwAxvAh4V8pfZno6niEKBPfdO IAhA2WGEqYu1A8WjyuZdjA== 0000905718-96-000327.txt : 19961231 0000905718-96-000327.hdr.sgml : 19961231 ACCESSION NUMBER: 0000905718-96-000327 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961230 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ELECTROMAGNETIC SCIENCES INC CENTRAL INDEX KEY: 0000032198 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 581035424 STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-31374 FILM NUMBER: 96687461 BUSINESS ADDRESS: STREET 1: PO BOX 7700 STREET 2: TECHNOLOGY PARK/ATLANTA CITY: NORCROSS STATE: GA ZIP: 30091-7700 BUSINESS PHONE: 4042639200 MAIL ADDRESS: STREET 1: PO BOX 770 CITY: NORCROSS STATE: GA ZIP: 30091-7700 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROCKER DAVID A /NY/ CENTRAL INDEX KEY: 0000919275 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 45 ROCKEFELLER PLAZA STREET 2: SUITE 1759 CITY: NEW YORK STATE: NY ZIP: 10111 BUSINESS PHONE: 212-397-1220 SC 13D/A 1 13D AMENDMENT FOR ELECTROMAGNETIC SCIENCES, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 SCHEDULE l3D Under the Securities Exchange Act of 1934 (Amendment No. 19)* ELECTROMAGNETIC SCIENCES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.10 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 285397105 - -------------------------------------------------------------------------------- (CUSIP Number) with a copy to: David A. Rocker Robert G. Minion, Esq. Suite 1759 Lowenstein, Sandler, Kohl, 45 Rockefeller Plaza Fisher & Boylan, P.A. New York, New York 10111 65 Livingston Avenue (212) 397-1220 Roseland, New Jersey 07068 (201) 992-8700 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 27, 1996 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule l3G to report the acquisition which 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 [ ]. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule l3d-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. 285397105 - -------------------------------------------------------------------------------- 1) Names of Reporting Persons (S.S. or I.R.S. Identification Nos. of Above Persons): David A. Rocker ###-##-#### - -------------------------------------------------------------------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions): (a) Not (b) Applicable - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Source of Funds (See Instructions):WC - -------------------------------------------------------------------------------- 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e): Not Applicable - -------------------------------------------------------------------------------- 6) Citizenship or Place of Organization: United States - -------------------------------------------------------------------------------- Number of 7) Sole Voting Power: 440,200* Shares Beneficially ---------------------------------------------- Owned by 8) Shared Voting Power: 0 Each Reporting ----------------------------------------------- Person With: 9) Sole Dispositive Power: 440,200* ----------------------------------------------- 10) Shared Dispositive Power: 0 ----------------------------------------------- - -------------------------------------------------------------------------------- 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 440,200* - -------------------------------------------------------------------------------- 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): Not Applicable - -------------------------------------------------------------------------------- 13) Percent of Class Represented by Amount in Row (11): 5.81%* - -------------------------------------------------------------------------------- 14) Type of Reporting Person (See Instructions): IA, IN - -------------------------------------------------------------------------------- * 397,000 shares (5.23%) of Electromagnetic Sciences, Inc. are owned by Rocker Partners, L.P., a New York limited partnership. 43,200 shares (0.57%) of Electromagnetic Sciences, Inc. are owned by Compass Holdings, Ltd., a corporation organized under the International Business Companies Ordinance of the British Virgin Islands. David A. Rocker serves as the sole managing partner of Rocker Partners, L.P. and, through Rocker Offshore Management Company, Inc., as investment adviser to Compass Holdings, Ltd. See Item 5 for further information on the computation of percentages set forth herein. Item 5. Interest in Securities of the Issuer. Based upon the information contained in Electromagnetic Sciences, Inc.'s quarterly report on Form 10-Q for the quarterly period ended September 30, 1996, there were issued and outstanding 7,578,013 shares of Electromagnetic Sciences, Inc. common stock as of November 13, 1996. As of December 27, 1996, Rocker Partners, L.P. owned 397,000 of such shares, or 5.23% of those outstanding and Compass Holdings, Ltd. owned 43,200 of such shares, or 0.57% of those outstanding. David Rocker possesses sole power to vote and direct the disposition of all shares of Electromagnetic Sciences, Inc. common stock owned by Rocker Partners, L.P. and Compass Holdings, Ltd. The following table details the transactions by each of Rocker Partners, L.P. and Compass Holdings, Ltd. in shares of Electromagnetic Sciences, Inc. common stock during the past 60 days: A. Rocker Partners, L.P. Date Quantity Price (Purchases) October 31, 1996 10,000 $17.64 October 31, 1996 5,000 $17.75 November 1, 1996 2,500 $17.75 November 4, 1996 2,500 $17.12 November 5, 1996 2,500 $17.18 November 5, 1996 3,000 $17.18 November 5, 1996 1,000 $17.21 November 6, 1996 4,000 $17.12 November 6, 1996 3,000 $17.16 November 6, 1996 3,000 $17.18 November 7, 1996 5,000 $17.06 November 11, 1996 2,500 $17.06 November 11, 1996 7,800 $16.56 November 12 1996 2,000 $17.31 November 18, 1996 5,000 $18.00 November 14, 1996 2,000 $17.62 November 19, 1996 7,000 $17.90 November 20, 1996 6,600 $18.06 November 21, 1996 2,200 $19.18 November 25, 1996 2,500 $20.43 November 25, 1996 2,200 $20.46 November 25, 1996 2,600 $20.51 November 26, 1996 2,400 $20.33 November 26, 1996 5,000 $20.37 November 29, 1996 1,000 $20.62 November 29, 1996 2,500 $20.75 December 2, 1996 4,000 $21.25 December 3, 1996 1,500 $21.41 December 3, 1996 4,000 $21.50 December 6, 1996 1,000 $20.12 December 9, 1996 3,000 $20.50 December 9, 1996 3,000 $21.22 December 9, 1996 1,500 $21.50 December 10, 1996 2,000 $21.06 December 11, 1996 5,000 $20.25 December 12, 1996 1,500 $20.02 December 17, 1996 5,100 $18.80 December 18, 1996 5,000 $18.75 December 23, 1996 10,000 $18.31 (Sales) October 31, 1996 5,000 $17.76 November 1, 1996 10,300 $17.50 November 20, 1996 17,500 $118.62 November 21, 1996 26,000 $19.25 December 10, 1996 15,000 $21.42 December 10, 1996 9,000 $21.30 December 11, 1996 2,000 $20.25 December 13, 1996 8,000 $20.43 December 13, 1996 3,000 $20.31 December 27, 1996 236,794 $18.25 B. Compass Holdings, Ltd. Date Quantity Price (Purchases) October 31, 1996 2,000 $17.64 November 5, 1996 1,200 $17.21 November 6, 1996 900 $17.15 November 6, 1996 2,000 $17.18 November 19, 1996 1,500 $17.90 November 20, 1996 2,500 $17.68 November 21, 1996 300 $19.54 November 22, 1996 10,000 $19.50 November 22, 1996 100 $21.12 December 2, 1996 1,400 $21.00 December 9, 1996 2,000 $20.50 December 11, 1996 100 $20.25 December 13, 1996 600 $20.27 December 23, 1996 1,000 $18.31 December 23, 1996 100 $18.62 December 24, 1996 100 $18.12 (Sales) November 13, 1996 150 $17.87 November 20, 1996 2,000 $18.50 November 20, 1996 2,000 $18.50 November 21, 1996 2,200 $19.25 November 22, 1996 13,000 $20.38 November 25, 1996 1,000 $20.62 December 2, 1996 2,000 $21.25 December 4, 1996 3,500 $21.62 December 10, 1996 1,300 $21.30 December 10, 1996 1,500 $21.40 December 27, 1996 12,256 $18.25 Signature After reasonable inquiry and to the best of the undersigned's knowledge and belief, the undersigned hereby certifies that the information set forth in this statement is true, complete and correct. Dated: December 30, 1996 /s/ David A. Rocker ----------------------------- David A. Rocker, individually, as managing partner of Rocker Partners, L.P., and as president of Rocker Offshore Management Company, Inc., the investment adviser to Compass Holdings, Ltd. ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----