-----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, OFS2RaD+WQ1iBhqxrIS4Vp+WRXdPJTlhh1/R4EfiIbLvlOIzzA5nCx9QGhltWR+/ p8qzUPnk9xnpN7+26tCxPQ== 0000893838-97-000145.txt : 19970918 0000893838-97-000145.hdr.sgml : 19970918 ACCESSION NUMBER: 0000893838-97-000145 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970912 SROS: AMEX SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MERRIMAC INDUSTRIES INC CENTRAL INDEX KEY: 0000706864 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 221642321 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-34358 FILM NUMBER: 97679946 BUSINESS ADDRESS: STREET 1: 41 FAIRFIELD PL CITY: W CALDWELL STATE: NJ ZIP: 07006-0986 BUSINESS PHONE: 2015751300 MAIL ADDRESS: STREET 1: 41 FAIRFIELD PLACE CITY: WEST CALDWELL STATE: NJ ZIP: 07007-0986 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HUBER CHARLES F II CENTRAL INDEX KEY: 0001000974 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O WILLIAM D WITTER & CO STREET 2: ONE CITICORP CENTER 153 EAST 53RD STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127537878 MAIL ADDRESS: STREET 1: C/O WILLIAM D WITTER & CO STREET 2: ONE CITICORP CTR 153 EAST 53RD STREET CITY: NEW YORK STATE: NY ZIP: 10022 SC 13D/A 1 SCHEDULE 13D AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)1 Merrimac Industries, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.50 par value - ------------------------------------------------------------------------------- (Title of Class of Securities) 59026210 - ------------------------------------------------------------------------------- (CUSIP Number) Thomas C. Meriam, Esq. Chadbourne & Parke LLP 30 Rockefeller Plaza New York, NY 10112 (212) 408-5100 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) July 24, 1997 - ------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G 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 13d-1(a) for other parties to whom copies are to be sent. 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. 59026210 13D Page 2 of 5 Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Charles F. Huber II 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3 SEC USE ONLY 4 SOURCE OF FUNDS* PF, OV 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America NUMBER OF 7 SOLE VOTING POWER SHARES 156,000 shares of Common Stock, $.50 par value ("Common Stock"), see Item 5, Interest in Securities of the Issuer BENEFICIALLY 8 SHARED VOTING POWER OWNED BY - 0 - EACH 9 SOLE DISPOSITIVE POWER REPORTING 156,000 shares of Common Stock, $.50 par value ("Common Stock"), see Item 5, Interest in Securities of the Issuer PERSON 10 SHARED DISPOSITIVE POWER WITH - 0 - 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 156,000 shares of Common Stock, $.50 par value ("Common Stock"), see Item 5, Interest in Securities of the Issuer 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.98% See Item 5, Interest in Securities of the Issuer 14 TYPE OF REPORTING PERSON* IN SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 59026210 13D Page 3 of 5 Pages This Amendment No. 1 (the "Amendment") amends the Schedule 13D filed on September 18, 1995 (the "Schedule 13D") by Charles F. Huber II (the "Reporting Person"). Except as specifically amended hereby, the Schedule 13D remains in full force and effect. Defined terms herein shall have the meaning specified in the Schedule 13D, except as otherwise provided herein. Item 2. Identity and Background. Item 2 is hereby amended by deleting the last line of the first paragraph thereof and by adding the following sentence at the end thereof: The Reporting Person resigned his positions as Chairman of the Board and as a director of Merrimac on July 24, 1997. Item 3. Source and Amount of Funds or Other Considerations. Item 3 is hereby amended by adding the following paragraphs. The Reporting Person has acquired shares of Common Stock from time to time in open market transactions since the filing of the Schedule 13D. In all cases, the Common Stock was purchased with either the Reporting Person's personal funds or on margin through the Reporting Person's broker, Prudential Securities Incorporated. Item 5. Interest in the Securities of the Issuer. Item 5 is hereby amended by adding the following paragraphs. The Reporting Person was granted options to acquire 1,500 shares, 20,000 shares and 1,500 shares of Common Stock on April 25, 1996, September 5, 1996 and May 12, 1997, respectively. The Reporting Person beneficially owns an aggregate of 156,000 shares of Common Stock, comprising approximately 9.98% of the outstanding shares of Common Stock (based upon Merrimac's most recent Quarterly Report on Form 10-QSB stating that as of August 1, 1997, 1,537,496 shares of Common Stock are outstanding). Of these 156,000 shares, 26,000 shares are deemed to be beneficially owned because the Reporting Person may acquire them within 60 days by exercising stock options. The Reporting Person has made open market purchases aggregating 20,000 shares of Common Stock on the American Stock Exchange, Inc. since the filing of the Schedule 13D. In addition, the Reporting Person exercised an outstanding option to purchase 1,500 shares of the Company's Common Stock. The Reporting Person has not made any purchases in the last 60 days. Except as set forth in Item 5, the Reporting Person has the sole power to vote or to direct the vote and the sole power to dispose or to direct the disposition of all the shares of Common Stock reported herein as owned by him. No other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such Common Stock. SIGNATURE After reasonable inquiry and the best of my knowledge and belief, I certify that the information set forth in the statement is true, complete and correct. Date: September 10, 1997 /s/ Charles F. Huber II ----------------------------- Charles F. Huber II -----END PRIVACY-ENHANCED MESSAGE-----