-----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, CHsG2X7UU9HMuMXZkr0hl/vhLEgDWG9OTa0dHB/nQJSkGwqGpI5yTGSxQ4/ydsKF jQoRPq83KNK9wheP3toc2w== 0001050502-99-000534.txt : 19990805 0001050502-99-000534.hdr.sgml : 19990805 ACCESSION NUMBER: 0001050502-99-000534 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990804 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: POLLUTION RESEARCH & CONTROL CORP /CA/ CENTRAL INDEX KEY: 0000763950 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INSTRUMENTS FOR MEASUREMENT, DISPLAY, AND CONTROL [3823] IRS NUMBER: 952746949 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-41131 FILM NUMBER: 99677523 BUSINESS ADDRESS: STREET 1: 506 PAULA AVE CITY: GLENDALE STATE: CA ZIP: 91201 BUSINESS PHONE: 8182477601 MAIL ADDRESS: STREET 1: 506 PAULA AVE CITY: GLENDALE STATE: CA ZIP: 91201 FORMER COMPANY: FORMER CONFORMED NAME: DASIBI ENVIRONMENTAL CORP DATE OF NAME CHANGE: 19900529 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PATTERSON RONALD E CENTRAL INDEX KEY: 0001081927 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 17 PRENSTILE PLACE CITY: ROBBINSVILLE STATE: NJ ZIP: 08691 BUSINESS PHONE: 6092592662 MAIL ADDRESS: STREET 1: 17 PRESTILE PLACE CITY: ROBBINSVILLE STATE: NJ ZIP: 08691 SC 13D/A 1 FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 Pollution Research and Control Corp. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 731-547-303 ----------------------------------------------------- (CUSIP Number) Ronald E. Patterson, 17 Prestile Place, Robbinsville, NJ 08691 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) July 16, 1999 ------------------------------------------------------------- (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/A, and is filing this schedule because of Rule 13d-l(b)(3) or (4), check the following box [ ]. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13a-l(a) 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/A CUSIP No. 731-547-303 ------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR l.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ronald E. Patterson ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ] ITEMS 2(d) or 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER - -------------------------------------------------------------------------------- NUMBER OF | | SOLE VOTING POWER SHARES | | 560,172 BENEFICIALLY |----------------------------------------------------------------- OWNED BY | | SHARED VOTING POWER EACH | | -0- REPORTING |----------------------------------------------------------------- WITH | | SOLE DISPOSITIVE POWER | | 560,172 |----------------------------------------------------------------- | | SHARED DISPOSITIVE POWER | | -0- - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 560,172 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 14.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN See attached additional page 1 and 2. - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. Page 1 Item 1. Security and Issuer The class of equity securities to which this statement relates is shares of Common Stock, no par value, of Pollution Research and Control Corp., a California corporation (the "Company"), whose principal executive offices are located at 506 Paula Avenue, Glendale, California 91201. Item 2. Identity and Background (a) Name: Ronald E. Patterson (b) Address: 17 Prestile Place Robbinsville, NJ 08691 (c) Principal occupation: Retired (d) The undersigned has not, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) The undersigned 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 future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (f) Citizenship: U.S.A. Item 3. Source and Amount of Funds Mr. Patterson utilized personal funds for the purchases described in Item 5(c). Item 4. Purpose of Transaction Mr. Patterson acquired the Company's securities for investment purposes. Mr. Patterson does not have any plans to engage in any of the activities described in Item 4 of Schedule 13D/A. Page 2 Item 5. Interest in Securities of the Issuer (a) Mr. Patterson is the beneficial owner of 560,172 shares of the Company's Common Stock (including 187,858 shares which may be acquired upon the exercise of presently exercisable warrants), representing 14.3% of the outstanding shares of Common Stock of the Company, based on 3,736,770 shares outstanding on July 16, 1999, as advised by the Company. (b) Mr. Patterson has the sole power to vote or to direct the vote and sole power to dispose or to direct the disposition of such shares. (c) This Amendment No. 1 to Schedule 13D is being filed to report the following transaction: On July 16, 1999, Mr. Patterson purchased units from the Company consisting of an aggregate of 80,000 shares of the Company's common stock and warrants to purchase an aggregate of 54,525 shares of the Company's common stock (the "Warrants"). The Warrants are currently exercisable at an exercise price of $.75 per share, and all the Warrants expire on July 16, 2002. (d) No other person has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares. (e) Not applicable. Item 6. Contract, Arrangement, Understanding or Relationships with Respect to Securities of the Issuer. None. Item 7. Material to be Filed as Exhibits. None. SIGNATURES After due 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: August 3, 1999 /s/ Ronald E. Patterson ----------------------------------------- Name: Ronald E. Patterson Title: Individual -----END PRIVACY-ENHANCED MESSAGE-----