-----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, L3mpwJeTi10iiSLj6WLA4+WBCHvKJb8xE5PfsYiNaK9JMzqk/qlpu2F5hb8WOPGU od6TAJfKVlKAed1DzGiE8w== 0000894579-00-000051.txt : 20000511 0000894579-00-000051.hdr.sgml : 20000511 ACCESSION NUMBER: 0000894579-00-000051 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000430 FILED AS OF DATE: 20000510 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NETOPTIX CORP CENTRAL INDEX KEY: 0000711425 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 042526583 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4/A SEC ACT: SEC FILE NUMBER: 000-11309 FILM NUMBER: 624499 BUSINESS ADDRESS: STREET 1: PO BOX 550 STREET 2: GALILEO PARK CITY: STURBRIDGE STATE: MA ZIP: 01566 BUSINESS PHONE: 5083479191 MAIL ADDRESS: STREET 1: GALILEO PARK STREET 2: PO BOX 550 CITY: STURBRIDGE STATE: MA ZIP: 01566 FORMER COMPANY: FORMER CONFORMED NAME: GALILEO CORP DATE OF NAME CHANGE: 19970828 FORMER COMPANY: FORMER CONFORMED NAME: GALILEO ELECTRO OPTICS CORP DATE OF NAME CHANGE: 19920703 COMPANY DATA: COMPANY CONFORMED NAME: ANDLINGER GERHARD R CENTRAL INDEX KEY: 0001076090 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A BUSINESS ADDRESS: STREET 1: 105 HARBOR DRIVE, SUITE 125 CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 2033486690 4/A 1 AMENDMENT TO FORM 4 FOR NETOPTIX CORPORATION
- ----------- ----------------------------- FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL | - ----------- Washington, D.C. 20549 | | ----------------------------- [ ] Check this box if | | no longer subject STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |OMB Number | to Section 16. Filed pursuant to Section 16(a) of the Securities Exchange Act of |Expires: | Form 4 or Form 5 1934, Section 17(a) of the Public Utility Holding Company Act of |Estimated average burden | obligations may 1935 or Section 30(f) of the Investment Company Act of 1940 |hours per response | continue. ----------------------------- See instruction 1(b) (Print or Type Responses) - ----------------------------------------------------------------------------------------------------------------------------------- | | 1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol | 6. Relationship of Reporting | NetOptix Corporation (Nasdaq: Optx) | Person(s) to Issuer Andlinger Gerhard R. | | (Check all applicable) - ----------------------------------------------|--------------------------|-------------------| (Last) (First) (Middle) | | | | 3. IRS or Social Se- |4. Statement for | X Director X 10% Owner 4445 North A1A, Suite #235 | curity Number of | Month/Year | X Officer __ Other - ----------------------------------------------| Reporting Person | | (give title (specify (Street) | (Voluntary) | | below) below) | | | | | 04/00 | Chairman, President & CEO | | | ------------------------- Vero Beach, FL 32963 | | | | | | | |---------------------------------------------------------- | |5. If Amendment, |7. Individual or Joint/Group Filing | | Date of Original| (Check Applicable Line) | | (Month/Year) | X Form filed by One Reporting Person | | | __ Form filed by More than One | | 5/4/00(1) | Reporting Person - ----------------------------------------------|------------------------------------------------------------------------------------- (City) (State) (Zip) | Table I -- Non-Derivative Securities, Acquired, Disposed of, or Beneficially Owned | - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security |2. Trans- |3.Trans- | 4. Securities Acquired (A) |5. Amount of |6. Owner- | 7. Nature of (Instr. 3) | action | action | or Disposed of (D) | Securities | ship | Indirect | Date | Code | | Beneficially | Form: | Bene- | | | | Owned at | Direct | ficial | (Month/| | | End of Month | (D) or (I) | Ownership | Day/ | (Instr. 8)| (Instr. 3, 4 and 5) | | | | Year) |------|-----|------------------|-----|-------| | | | | | | |(A)or| | | | | | Code | V | Amount |(D) |Price | (Instr. 3 and 4)| (Instr. 4) | (Instr. 4) - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- Common Stock, par value | | | | | |$1.50/ | | | $.01 per share | 04/05/00 | X | |1,000,000 shares | |share | | (I)(2) | (2) - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- Common Stock, par value | | | | | | | | | $.01 per share | | | | | | | 4,000,000 shares| (I)(2) | (2) - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- Common Stock, par value | | | | | | | | | $.01 per share | | | | | | | 171,465 shares| (I)(3) | (3) - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- | | | | | | | | | | | | | | | | | | - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- | | | | | | | | | | | | | | | | | | - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- | | | | | | | | | | | | | | | | | | - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- | | | | | | | | | | | | | | | | | | - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|----------------
Table I - Continued FORM 4 (Continued) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ----------------------------------------------------------------------------------------------------------------------------------- 1.Title of |2.(Conver-|3.Trans-|4.Trans-|5.Number of |6.Date Exer- |7.Title and |8.Price |9.Number |10.Owner-|11.Nature Derivative| sion or | action| action| Derivative | cisable | Amount of | of | of deriv-| ship |of Security | Exercise| Date | Code | Securities | and | Underlying | Deri- | ative | Form of |Indirect (Instr. 3)| Price of| |(Instr. | Acquired | Expiration | Securities | vative| Securi- | Deriva- |Benefi- | Deriv- | | 8) | (A) or Dis- | Date | (Instrs. 3 | Secu- | ties | tive |cial | ative | | | posed of (D) | (Month/Day/ | and 4) | rity | Benefi- | Secu- |Owner- | Security| (Month/| | | Year) | | (Instr.| cially | rity: |ship | | Day/ | |(Instrs. 3,4, | | | 5) | Owned | Direct |(Instr.4 | | Year) | | and 5) | | | | at End | (D) or | | | | | |--------------|------------------| | of Month | indirect| | | | | |Date |Expira-| | Amount | | (Instr. 4| (I) | | | | | |Exer- |tion | Title | or | | |(Instr.4)| |----------|--------|----|---|--------|-------|cisa- |Date | | Number | | | | | | | | | | |ble | | | of | | | | | | | | | | | | | | Shares | | | | | | |Code| V | (A) | (D) | | | | | | | | - ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|--------- Warrant for | $1.50/ |04/05/00| X | | | (D) | | |Common |1,000,000| | | | Common Stock| share | | | | | | | |Stock, | | | | | | | | | | | | | |par | | | | | | | | | | | | | |value | | | | | | | | | | | | | |$.01 per| | | | | | | | | | | | | |share | | | | | - ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|--------- Warrant for | | | | | | | | | | | | 0 | | Common Stock| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|--------- Non- | | | | | | | | | | | |100,000 | (I)(4) | (4) Qualified | | | | | | | | | | | |(4) | | Stock Option| | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|--------- Explanation of Responses: (1) This Form 4 amends and restates the Form 4 filed with the United States Securities and Exchange Commission on behalf of Mr. Andlinger for the month of April, 2000. (2) These securities are directly beneficially owned by Andlinger Capital XIII LLC ("Andlinger Capital"). The Gerhard R. Andlinger Intangible Asset Management Trust (the "Trust") is a majority member of Andlinger Capital. Mr. Andlinger is the sole beneficiary of the Trust and in such capacity, may be deemed to be an indirect beneficial owner of such securities. (3) These securities are directly beneficially owned by the Trust. Mr. Andlinger is the sole beneficiary of the Trust and in such capacity, may be deemed to be an indirect beneficial owner of such securities. (4) These securities are beneficially owned directly by ANC Management Corp. ("ANC"). Mr. Andlinger may be deemed to beneficially own such securities indirectly in his capacity as Chairman of ANC. Nothing in this Form 4 shall be deemed an admission that Mr. Andlinger is, for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended (the "Securities Act") or otherwise, the beneficial owner of any securities reported on this Form 4 in which he does not have a pecuniary interest as calculated pursuant to the rules and regulations promulgated under Section 16 of the Securities Act. ** Intentional misstatements or omissions of facts constitute By: /s/ Gerhard R. Andlinger 5/9/00 Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -------------------------------- ----------- ** Gerhard R. Andlinger Date Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
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