-----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, LjzCjMHG+0rsbU+mO+9A17gomJUciIvm3c5mXlHk7gUwNgf3l9qtrK402zd6KwtR 8/tlXQEagZYYkZ8NC0PEMQ== 0000902584-04-000045.txt : 20040217 0000902584-04-000045.hdr.sgml : 20040216 20040213190457 ACCESSION NUMBER: 0000902584-04-000045 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040217 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ESPEY MFG & ELECTRONICS CORP CENTRAL INDEX KEY: 0000033533 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 141387171 STATE OF INCORPORATION: NY FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-19806 FILM NUMBER: 04601619 BUSINESS ADDRESS: STREET 1: 233 BALLSTON AVE STREET 2: COR. CONGRESS & BALLSTON AVES. CITY: SARATOGA SPRINGS STATE: NY ZIP: 12866 BUSINESS PHONE: 5185844100 MAIL ADDRESS: STREET 1: 233 BALLSTON AVE CITY: SARATOGA SPRINGS STATE: NY ZIP: 12866 FORMER COMPANY: FORMER CONFORMED NAME: ESPEY MANUFACTURING & ELECTRONICS CORP DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ADVISORY RESEARCH INC CENTRAL INDEX KEY: 0000902584 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 132831881 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 180 N. STETSON STREET STREET 2: STE 5780 CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: 3125651414 MAIL ADDRESS: STREET 1: 180 N. STETSON STREET STREET 2: SUITE 5780 CITY: CHICAGO STATE: IL ZIP: 60601 SC 13G 1 ari13g-esp.txt ESPEY MFG AND ELEC CORP SCHEDULE 13G CUSIP NO. 296650104 13G 1 Name of Reporting Person / IRS Identification Number: Advisory Research, Inc. / 36-2831881 - ------------------------------------------------------------------ 2 Check the Appropriate Box if a Member of a Group (a) [ ] (See Instructions) (b) [X] - ------------------------------------------------------------------ 3 SEC Use Only - ------------------------------------------------------------------ 4 Citizenship or Place of Organization Delaware - ------------------------------------------------------------------ Number of 5 Sole Voting Power Shares 70,700 Shares ----------------------------------------------- Beneficially 6 Shared Voting Power Owned By 0 Shares ----------------------------------------------- Each 7 Sole Dispositive Power Reporting 70,700 Shares ----------------------------------------------- Person 8 Shared Dispositive Power With 0 Shares - ------------------------------------------------------------------ 9 Aggregate Amount Beneficially Owned by Each Reporting Person 70,700 Shares - ------------------------------------------------------------------ 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] (See Instructions) - ------------------------------------------------------------------ 11 Percent of Class Represented by Amount in Row (9) 7.00% - ------------------------------------------------------------------ 12 Type of Reporting Person IA - ------------------------------------------------------------------ Item 1 (a) Name of Issuer: Espey Mfg & Electronics Corp. Item 1 (b) Name of Issuer's Principal Executive Offices: 233 Ballston Ave Saratoga Springs, NY 12866 Item 2 (a) Person Filing - Advisory Research, Inc. Item 2 (b) Address - 180 North Stetson St., Suite 5780 Chicago, IL 60601 Item 2 (c) Citizenship - Advisory Research, Inc.is a Delaware Corporation Item 2 (d) Title of Class of Securities - Common Item 2 (e) CUSIP Number - 296650104 Item 3 If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in Section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act (d) [ ] Investment Company registered under Section 8 of the Investment Company Act (e) [X] Investment Advisor in accordance with section 240.13d-1(b)(1)(ii)(E) (f) [ ] Employee Benefit Plan or Endowment Fund in accordance with section 240.13d-1(b) (1)(ii)(F) (g) [ ] Parent Holding Company or Control Person in accordance with secton 13d-1(b) (1)(ii)(G) (h) [ ] A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (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 Item 4 Ownership (a) Amount Beneficially Owned: Advisory Research, Inc. 70,700 Shares (b) Percent of Class 7.00% (c) Number of shares as to which reporting person has: (i) Sole Voting Power 70,700 Shares (ii) Shared Voting Power 0 Shares (iii) Sole Dispositive Power 70,700 Shares (iv) Shared Dispositive Power 0 Shares 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: 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 if 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 such securities and were not acquired and are not held in connection with or as a participant in any transaction having such purposes 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. February 12, 2004 ---------------------------------- Date /s/ Brien M. O'Brien ---------------------------------- Signature Brien M. O'Brien, Chairman ---------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----