0001213900-18-006950.txt : 20180529 0001213900-18-006950.hdr.sgml : 20180529 20180529160136 ACCESSION NUMBER: 0001213900-18-006950 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180529 DATE AS OF CHANGE: 20180529 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Optex Systems Holdings Inc CENTRAL INDEX KEY: 0001397016 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0928 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-84853 FILM NUMBER: 18864412 BUSINESS ADDRESS: STREET 1: 1420 PRESIDENTIAL DRIVE CITY: RICHARDSON STATE: TX ZIP: 75081 BUSINESS PHONE: 972-764-5700 MAIL ADDRESS: STREET 1: 1420 PRESIDENTIAL DRIVE CITY: RICHARDSON STATE: TX ZIP: 75081 FORMER COMPANY: FORMER CONFORMED NAME: Sustut Exploration Inc DATE OF NAME CHANGE: 20070419 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LONGVIEW FUND LP CENTRAL INDEX KEY: 0001134340 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: VIKING ASSET MANAGEMENT LLC STREET 2: 66 BOVET ROAD, SUITE 320 CITY: SAN MATEO, STATE: CA ZIP: 94402 BUSINESS PHONE: 650-638-0550 MAIL ADDRESS: STREET 1: VIKING ASSET MANAGEMENT LLC STREET 2: 66 BOVET ROAD, SUITE 320 CITY: SAN MATEO, STATE: CA ZIP: 94402 SC 13D/A 1 sc13d0518a1longview_optex.htm AMENDMENT NO.1 TO SCHEDULE 13D

 

 

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

SCHEDULE 13D

(Amendment No. 1)

(RULE 13D-101)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13D-1(A) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(A)

 

Optex Systems Holdings, Inc.

(NAME OF ISSUER)

 

COMMON STOCK, $0.001 PAR VALUE PER SHARE

(TITLE OF CLASS OF SECURITIES)

 

68384X209

(CUSIP NUMBER)

 

The Longview Fund L.P.

1325 Howard Avenue, #217

Burlingame, CA 94010

(650) 638-0550

(NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS)

 

 

(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(E), 13D-1(F) OR 13D-1(G), CHECK THE FOLLOWING BOX   ☐

 

NOTE: SCHEDULES FILED IN PAPER FORMAT SHALL INCLUDE A SIGNED ORIGINAL AND FIVE COPIES OF THE SCHEDULE, INCLUDING ALL EXHIBITS. SEE RULE 13D-7 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).

 

 

 

 

 

 

SCHEDULE 13D

 

CUSIP NO: 68384X209

 

(1)

  NAMES OF REPORTING PERSONS

  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

  The Longview Fund L.P.

(2)

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

(A)  ☐  

(B)  ☐  

 

(3)

  SEC USE ONLY

 

(4)

  SOURCE OF FUNDS (SEE INSTRUCTIONS)

 

  OO

(5)

  CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) or 2(E)    ☐

 

(6)

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

   USA

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 (7)

  SOLE VOTING POWER – 1,437,477 (1)

 

(8)

  SHARED VOTING POWER – No Shares

 

(9)

  SOLE DISPOSITIVE POWER – 1,437,477 (1)

 

(10)

  SHARED DISPOSITIVE POWER – No Shares

 

(11)

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON – 1,437,477 (1)

 

(12)

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)  ☐

 

(13)

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

  16.63%

(14)

  TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

  OO

 

(1) Based on 8,646,003 shares of common stock outstanding as of April 1, 2018. 

 

 2 

 

 

SCHEDULE 13D

 

CUSIP NO: 68384X209

 

ITEM 1.SECURITY AND ISSUER.

 

This Schedule 13D relates to the common stock, par value $0.001 per share, of Optex Systems Holdings, Inc. (the “Issuer”), having its principal executive office at 1420 Presidential Drive, Richardson, TX 75081.

 

ITEM 2.IDENTITY AND BACKGROUND.

 

(a) The reporting person’s name is The Longview Fund L.P.

 

(b) The business address of the Reporting Person is 1325 Howard Avenue, Suite 217, Burlingame, CA 94010.

 

(c) The Reporting Person is principally engaged in the business of investing in equity, debt and other securities and assets.

 

(d) The Reporting Person has not, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).

 

(e) The Reporting Person has not, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining further violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

 

(f) The Reporting Person is organized in the State of California.

 

ITEM 3.SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.

 

On September 18, 2017 through May 14, 2018, the Reporting Person sold an aggregate of 662,655 registered shares of the Issuer’s Common Stock. On January 23, 2018 pursuant to the exercise of an option agreement entered into between the Reporting Person and another party, the Reporting Person sold 500,000 shares of Common Stock to the other party. On May 23, 2018, the Reporting Person sold 200,000 shares of Common Stock back to the Issuer. 

 

ITEM 4.PURPOSE OF TRANSACTION.

 

See Item 3 above.

 

 3 

 

 

SCHEDULE 13D

 

CUSIP NO: 68384X209

  

ITEM 5.INTEREST IN SECURITIES OF THE ISSUER.

 

The Reporting Person owns 1,437,477 shares of the Issuer’s common stock, representing 16.63% of the shares of common stock outstanding, based on a report from the Issuer’s transfer agent as of May 21, 2018. The Reporting Person has sole voting and dispositive power over the common stock. Except as set forth in Item 3 above, the Reporting Person has not effected any transaction in the Issuer’s common stock during the last 60 days.

 

ITEM 6.CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS, OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER.

 

Option Agreement and sales of Common Stock as described in Item 3 above.

 

ITEM 7.MATERIALS TO BE FILED AS EXHIBITS.

 

None.

 

 4 

 

 

SCHEDULE 13D

 

CUSIP NO: 68384X209

 

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.

 

DATED: May 29, 2018 /S/ Merrick Okamoto,
  President of Viking Asset Management LLC,
  as Investment Manager for
  The Longview Fund L.P.

 

 

5