-----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, AzNticTQkjblS1BoIBngGclnT/TaLvpO2DOEc1MVdH0CaYeLZwQcsHG+okoxPh75 YXA8XOGIINxAs6diuUjRkw== 0000932799-97-000042.txt : 19970222 0000932799-97-000042.hdr.sgml : 19970222 ACCESSION NUMBER: 0000932799-97-000042 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED IMAGING CORP CENTRAL INDEX KEY: 0000816066 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 770120490 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49885 FILM NUMBER: 97534278 BUSINESS ADDRESS: STREET 1: 2380 WALSH AVE BLDG B CITY: SANTA CLARA STATE: CA ZIP: 95051 BUSINESS PHONE: 4085620250 MAIL ADDRESS: STREET 1: 2380 WALSH AVE STREET 2: BUILDING B CITY: SANTA CLARA STATE: CA ZIP: 95051 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALLEN & CO INC/ALLEN HOLDING INC CENTRAL INDEX KEY: 0000904807 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 711 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128328300 MAIL ADDRESS: STREET 1: 711 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 APPLIED IMAGING CORP. --------------------- (Name of Issuer) Common Stock, par value, $.01 per share ---------------------------------------------------- (Title of Class of Securities) 03820G106 ------------------------ (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.)(See Rule 13d-7). *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 the disclosures provided in a prior cover page. The information required in 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 to 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). Page 1 of 7 Pages SCHEDULE 13G - ------------------- ----------------- CUSIP No. 03820G106 Page 2 of 7 Pages - ------------------- ------------------ ==========================================================================1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Allen Holding Inc. - -------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [x] - -------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - -------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 - --------------------------------------------------------------------------- 6 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 432,220 (Represents shares of Common Stock beneficially owned by Allen Value Partners, L.P. and Allen Value Limited and Allen Holdings,Inc. may be deemed to be hereinafter owners of such shares.) - --------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [x] - --------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.0% - --------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13G - ------------------- -------------------- CUSIP No. 03820G106 Page 3 of 7 Pages - ------------------- -------------------- =========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Allen & Company Incorporated - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [x] - -------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - ------------------------------------------------------------------------- 5 SOLE VOTING POWER 342,318 - -------------------------------------------------------------------------- 6 SHARED VOTING POWER 0 - -------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 342,318 - -------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 342,318 - -------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.0% - --------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* BD; CO ========================================================================= *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) Page 4 of 7 Pages SCHEDULE 13G Item 1. (a) Name of Issuer: Applied Imaging Corp. (b) Address of Issuer's Principal Executive Office: 2380 Walsh Avenue Building B Santa Clara, CA 95051 Item 2. Name of Person Filing (a) Name of Person Filing: Allen & Company Incorporated ("ACI") Allen Holding Inc.("AHI") (b) Address of Principal Office: 711 Fifth Avenue New York, New York 10022 (c) Citizenship/Organization: ACI - New York AHI - Delaware (d) Title Class of Securities: Common Stock, par value $.01 per share (e) CUSIP Number: 03820G106 Item 3. If Statement is filed pursuant to Rules 13(d)-1(b) or 13d-2(b), check whether Person Filing is a (a) [X] ACI is a Broker-Dealer registered under Section 15 of the Act. (g) [X] AHI is a parent holding company in accordance with Rule 13d-1(b)(ii)(G). Page 5 of 7 Pages Item 4. Ownership. (a) Amount Beneficially Owned: 774,538 shares of Common Stock(1)(2)(3) (b) Percent of Class: 11.0% (c) Number of Shares to Which Such Person Has: (i) Sole voting power - 774,538 shares of Common Stock(1)(2)(3) (ii) Shared voting power - 0 (iii) Sole dispositive power - 774,538 shares of Common Stock(1)(2)(3) (iv) Shared dispositive power - 0 Item 5. Ownership of Five Percent or Less of a Class. Not applicable. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Not Applicable. Item 7. Identification and Classification of Members of the Subsidiary Which Acquired the Securities 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. (1) Includes 373,575 shares of Common Stock and 58,645 shares issuable upon exercise of certain outstanding Warrants beneficially owned by Allen Value Partners L.P. and Allen Value Ltd., which are entities which may be deemed to be controlled by AHI. AHI disclaims beneficial ownership of the shares beneficially owned by such entities except the extent of its proportionate interest therein. (2) Includes warrants to purchase 204,261 shares of the Issuer's Common Stock. (3) Excludes shares of Common Stock and shares of Common Stock issuable upon exercise of outstanding warrants beneficially owned by certain officers, directors, employees and related persons of the Reporting Persons. The Reporting Persons disclaims beneficial ownership of such shares beneficially owned by such parties. Page 6 of 7 Pages Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. Page 7 of 7 Pages Signature: After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: February 14, 1997 ALLEN & COMPANY INCORPORATED By:--------------------------- Name: Gaetano J. Casillo Title: Vice President ALLEN HOLDING INC. By:--------------------------- Name: Gaetano J. Casillo Title: Vice President 90752 Page 7 of 7 Pages Signature: After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: February 14, 1997 ALLEN & COMPANY INCORPORATED /x/ Gaetano J. Casillo By:----------------------------- Name: Gaetano J. Casillo Title: Vice President ALLEN HOLDING INC. /x/ Gaetano J. Casillo By:---------------------------- Name: Gaetano J. Casillo Title: Vice President 90752 -----END PRIVACY-ENHANCED MESSAGE-----