-----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, L19jlwoGzvb2w6PSRVlm72hFLXA//izZHhi8KW7y4BEZEpRX8uNYKJ8S1pWy3geu nvoD1cFG/kR1/ajed3iyCQ== 0000894579-99-000185.txt : 19991018 0000894579-99-000185.hdr.sgml : 19991018 ACCESSION NUMBER: 0000894579-99-000185 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991006 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GALILEO 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 SEC ACT: SEC FILE NUMBER: 000-11309 FILM NUMBER: 99724097 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 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 BUSINESS ADDRESS: STREET 1: 105 HARBOR DRIVE, SUITE 125 CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 2033486690 4 1 FORM 4 GALILEO 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 | | Person(s) to Issuer Andlinger Gerhard R. | Galileo Corporation (Nasdaq: GAEO) | (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) | | | | | 09/99 | Chairman, President & CEO | | | ------------------------- | | | | | | | |---------------------------------------------------------- | |5. If Amendment, |7. Individual or Joint/Group Filing | | Date of Original| (Check Applicable Line) Vero Beach FL 32963 | | (Month/Year) | X Form filed by One Reporting Person | | | __ Form filed by More than One | | | 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 | 09/20/99 | X | | 1,000,000 shares | |share | | (I)(1) | (1) - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- | | | | | | | | | | | | | | | | 171,465 | (D) | - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- | | | | | | | | | | | | | | | | 3,000,000 | (I)(1) | (1) - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- | | | | | | | | | | | | | | | | | | - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- | | | | | | | | | | | | | | | | | | - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- | | | | | | | | | | | | | | | | | | - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|---------------- | | | | | | | | | | | | | | | | | | - -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|----------------
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 | $1.50/ |9/20/99 | | | | (D) | | |Common |1,000,000| | | | Common Stock| share | | | | | | | |Stock, | | | | | | | | | | | | | |par | | | | | | | | | | | | | |value | | | | | | | | | | | | | |$.01 per| | | | | | | | | | | | | |share | | | | | - ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|--------- Non- | | | | | | | | | | | | 100,000 | (I)(2) | (2) Qualified | | | | | | | | | | | | (2) | | Stock Option| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|--------- Warrant for | | | | | | | | | | | |1,000,000 | (I)(1) | (1) Common Stock| | | | | | | | | | | | (1) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|--------- | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|--------- | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) These securities are beneficially owned directly by Andlinger Capital XIII LLC. Mr. Andlinger may be deemed to beneficially own such securities indirectly as the owner of a greater than 50% interest in Andlinger Capital XIII LLC. This report shall not be deemed an admission that Mr. Andlinger is the beneficial owner of such securities. (2) These securities are beneficially owned directly by ANC Management Corp. Mr. Andlinger may be deemed to beneficially own such securities indirectly in his capacity as Chairman of ANC Management Corp. This report shall not be deemed an admission that Mr. Andlinger is the beneficial owner of such securities. ** Intentional misstatements or omissions of facts constitute By: /s/Gerhard R. Andlinger 10/06/99 Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -------------------------------- ----------- ** Signature of Reporting Person 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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