-----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, BVpZ3XuyIBi2vJtVQpMJbaJJXZjzl4AEgkg3MKy1v+wcTEfIsyykQXGsC0N3LxZj kOpwl4iAPMryXbBwGKqc3Q== 0000950157-99-000661.txt : 19991208 0000950157-99-000661.hdr.sgml : 19991208 ACCESSION NUMBER: 0000950157-99-000661 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991111 FILED AS OF DATE: 19991207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: VERTEX COMMUNICATIONS CORP /TX/ CENTRAL INDEX KEY: 0000780416 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 751982974 STATE OF INCORPORATION: TX FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-14899 FILM NUMBER: 99770148 BUSINESS ADDRESS: STREET 1: 2600 N LONGVIEW ST STREET 2: PO BOX 1277 CITY: KILGORE STATE: TX ZIP: 75662 BUSINESS PHONE: 9039840555 COMPANY DATA: COMPANY CONFORMED NAME: TRIPOINT GLOBAL COMMUNICATIONS INC CENTRAL INDEX KEY: 0001099157 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 565 FIFTH AVENUE 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2128508500 MAIL ADDRESS: STREET 1: 565 FIFTH AVENUE 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 3 1 FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 ________________________________________________________________________________ 1. Name and Address of Reporting Person* TriPoint Global Communications Inc. 565 Fifth Avenue, 17th Floor New York, NY 10017 ________________________________________________________________________________ 2. Date of Event Requiring Statement (Month/Day/Year) 11/11/99 ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) 56-1871899 ________________________________________________________________________________ 4. Issuer Name and Ticker or Trading Symbol Vertex Communications Corporation (VTX) ________________________________________________________________________________ 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [x] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ________________________________________________________________________________ 6. If Amendment, Date of Original (Month/Day/Year) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [ ] Form Filed by One Reporting Person [x] Form Filed by More than One Reporting Person ================================================================================ Table I -- Non-Derivative Securities Beneficially Owned ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $.10 per share See Explanation of I See Explanation of Responses on Responses on attached page. attached page. - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 5(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) (Form 3-07/99) FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Name and Address of Reporting Person: TriPoint Global Communications Inc. 565 Fifth Avenue, 17th Floor New York, NY 10017 Additional Reporting Persons: Signal Acquisition Corporation 565 Fifth Avenue, 17th Floor New York, NY 10017 Relationship to Issuer: 10% Owner Thyssen-Bornemisza Continuity Trust Clarendon House, Church Street Hamilton, Bermuda Relationship to Issuer: 10% Owner Date of Event Requiring Statement: November 11, 1999 Issuer Name and Ticker or Trading Symbol: Vertex Communications Corporation (VTX) Explanation of Responses On November 11, 1999, TriPoint Global Communications Inc. ("Parent") and Signal Acquisition Corporation (the "Purchaser"), a wholly owned subsidiary of Parent, entered into a Company Shareholder Agreement (the "Shareholder Agreement") with certain shareholders of Vertex Communications Corporation (the "Company") (collectively the "Principal Shareholders"), pursuant to which each Principal Shareholder has agreed, among other things, to accept the Offer (as defined in the Offer to Purchase referred to below) with respect to all the shares of Common Stock, par value $0.10 per share, of the Company ("Shares") that he owns, together with Shares such Principal Shareholder has the right to acquire upon the exercise of Company stock options, and to tender such Shares pursuant to the Offer. In addition, each Principal Shareholder has granted the Purchaser an option to purchase all his Shares at a price equal to the Offer Price in the event that such Principal Shareholder fails to tender such Shares pursuant to the Offer, or withdraws such Shares prior to expiration of the Offer. The Principal Shareholders, in the aggregate, own 447,513 Shares and have options to purchase an additional 258,400 Shares. Under the Shareholder Agreement, each Principal Shareholder has granted to certain individuals designated by Parent an irrevocable proxy with respect to the Shares subject to the Shareholder Agreement to vote such Shares in a manner consistent with the Shareholder Agreement. In addition, Thyssen-Bornemisza Continuity Trust, through its subsidiaries Thybo Gamma Ltd. and Vulcan Securities Limited, both Bermuda corporations, beneficially owns 157,100 shares, none of which were acquired during the past 60 days. Page 3 of 4 Name and Address of Reporting Person: TriPoint Global Communications Inc. 565 Fifth Avenue, 17th Floor New York, NY 10017 Additional Reporting Persons: Signal Acquisition Corporation 565 Fifth Avenue, 17th Floor New York, NY 10017 Relationship to Issuer: 10% Owner Thyssen-Bornemisza Continuity Trust Clarendon House, Church Street Hamilton, Bermuda Relationship to Issuer: 10% Owner Date of Event Requiring Statement: November 11, 1999 Issuer Name and Ticker or Trading Symbol: Vertex Communications Corporation (VTX) /s/ Jack Haegele 12/7/99 - ------------------------------------- ---------- **Signature of Reporting Person Date TriPoint Global Communications Inc. Name: Jack Haegele Title: Chief Executive Officer /s/ Jack Haegele 12/7/99 - ------------------------------------- ---------- **Signature of Reporting Person Date Signal Acquisition Corporation Name: Jack Haegele Title: Chief Executive Officer /s/ Frank Mutch 12/7/99 - ------------------------------------- ---------- **Signature of Reporting Person Date Thyssen-Bornemisza Continuity Trust by Thybo Trustees Limited (as Trustee of the Thyssen-Bornemisza Continuity Trust) Name: Frank Mutch Title: Director **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). 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. Page 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----