-----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, Kqzb1jKRtNJY3+m0oQ+yJ9MXmOQZ5fEHVX/p93NNoPYt+oYMzlmbcUmoFyNGi2C/ p8DHE2U5xA+8nOcFIA3mPA== 0000950148-98-000341.txt : 19980219 0000950148-98-000341.hdr.sgml : 19980219 ACCESSION NUMBER: 0000950148-98-000341 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980218 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRANS LUX CORP CENTRAL INDEX KEY: 0000099106 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS MANUFACTURING INDUSTRIES [3990] IRS NUMBER: 131394750 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-32729 FILM NUMBER: 98544529 BUSINESS ADDRESS: STREET 1: 110 RICHARDS AVE CITY: NORWALK STATE: CT ZIP: 06856-5090 BUSINESS PHONE: 2038534321 MAIL ADDRESS: STREET 1: 110 RICHARDS AVENUE CITY: NORWALK STATE: CT ZIP: 06856-5090 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FROLEY REVY INVESTMENT CO INC /ADV CENTRAL INDEX KEY: 0000733578 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 952931677 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 10900 WILSHIRE BLVD STE 900 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 3102084938 MAIL ADDRESS: STREET 1: 10900 WILSHIRE BLVD STREET 2: SUITE 900 CITY: LOS ANGELES STATE: CA ZIP: 90025 FORMER COMPANY: FORMER CONFORMED NAME: FROLEY REVY INVESTMENT CO INC /ADV DATE OF NAME CHANGE: 19980218 SC 13G/A 1 SCHEDULE 13G AMENDMENT 1 1 ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0145 Expires: October 31, 1994 Estimated average burden Hours per response..... 14.90 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* TRANS LUX CORP ----------------------------------------- (Name of Issuer) COMMON STOCK ----------------------------------------- (Title of Class of Securities) 893247106 ----------------------------------------- (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 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). 2 CUSIP NO. 893247106 13G PAGE 2 OF 4 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Froley, Revy Investment Co., Inc. 95-2931677 ----------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] ----------------------------------------------------------------------------- (3) SEC USE ONLY ----------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION L.A., CA USA ----------------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF NONE SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY NONE EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH 383,225 -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER NONE -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 383,225 owned in the form of 5,370,000 cvt. Sub. Notes 7.50% 12/1/06 (conversion ratio 71.364) ----------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ------------------------------------------------------------------------------ (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.41% ------------------------------------------------------------------------------ (12) TYPE OF REPORTING PERSON* IA ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 CUSIP NO. 893247106 PAGE 3 OF 4 PAGES - ------------------- ----------------- ITEM # 4 - -------- OWNERSHIP. (a) Amount Beneficially Owned: 383,225 (b) Percent of Class: 2.41% (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: NONE (ii) shared power to vote or to direct the vote: NONE (iii) sole power to dispose or to direct the disposition of: 383,225 (iv) shared power to dispose or to direct the disposition of: NONE ITEM # 5 Ownership of Five Percent or Less of a Class 2.41% 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 have such purposed or effect. 4 CUSIP No. 893247106 PAGE 4 OF 4 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. - ---------------------------- ------------------------- Andrea O'Connell Date Managing Director Froley, Revy Investment Co., Inc. -----END PRIVACY-ENHANCED MESSAGE-----