-----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, P+M/hlreJZJTmv4QBW8JS1eF9h+6uPPO66EZd8saejj+aj/W+3VQry2OVSsFBvqY vnwlyqc74n2T1drQLwq8fA== 0001031047-97-000002.txt : 19970930 0001031047-97-000002.hdr.sgml : 19970930 ACCESSION NUMBER: 0001031047-97-000002 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970929 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCED MACHINE VISION CORP CENTRAL INDEX KEY: 0000795445 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INSTRUMENTS FOR MEASUREMENT, DISPLAY, AND CONTROL [3823] IRS NUMBER: 330256103 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-48049 FILM NUMBER: 97687195 BUSINESS ADDRESS: STREET 1: 2067 COMMERCE DR CITY: MEDFORD STATE: OR ZIP: 97504 BUSINESS PHONE: 5417767700 MAIL ADDRESS: STREET 1: 2067 COMMERCE DR CITY: MEDFORD STATE: OR ZIP: 97504 FORMER COMPANY: FORMER CONFORMED NAME: ARC CAPITAL DATE OF NAME CHANGE: 19951222 FORMER COMPANY: FORMER CONFORMED NAME: APPLIED LASER SYSTEMS /CA DATE OF NAME CHANGE: 19930825 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STEEL ALAN CENTRAL INDEX KEY: 0001031047 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 2067 COMMERCE DRIVE CITY: MEDFORD STATE: OR ZIP: 97504 BUSINESS PHONE: 5417767700 SC 13D 1 SCHEDULE 13D - ALAN STEEL --------------------------------- OMB APPROVAL --------------------------------- OMB Number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response...14.90 --------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* ADVANCED MACHINE VISION CORPORATION (Name of Issuer) Class A Common Stock (Title of Class of Securities) 00753B 10 4 (CUSIP Number) Alan Steel, 2067 Commerce Drive, Medford, Oregon 97504 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 25, 1997 (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(b)(3) or (4), check the following box |_| Check the following box if a fee is being paid with the statement |_| (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(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). SEC 1746 (12-91) SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP No. 00753B 10 4 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Alan Steel - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 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 United States of America - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 303,000 ---------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 0 OWNED BY EACH ---------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 303,000 ---------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 303,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.8% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *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 Item 1. Security and Issuer. - ----------------------------- This report relates to the Class A Common Stock, no par value (the "Stock"), of ADVANCED MACHINE VISION CORPORATION, a California corporation (the "Issuer"). The principal executive officers are: Name Address Title - ---------------- ------------------- ------------------------------ William J. Young 2067 Commerce Drive Chairman, President and Chief Medford, OR 97504 Executive Officer Alan Steel 2067 Commerce Drive Vice President Finance and Medford, OR 97504 Chief Financial Officer Item 2. Identity and Background. - --------------------------------- (a) The person filing this statement is Alan Steel. (b) The principal business address of Mr. Steel is 2067 Commerce Drive, Medford, OR 97504. (c) Mr. Steel's principal occupation is Vice President Finance and Chief Financial Officer of the Issuer, which engages in the business of manufacturing automated visual recognition and defect removal equipment, and the principal executive offices of which are located at 2067 Commerce Drive, Medford, Oregon 97504. (d) Mr. Steel has not, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) Mr. Steel was not, during the last five years, a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which he was subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws. (f) Mr. Steel is a citizen of the United States. Item 3. Source and Amount of Funds or Other Consideration. - ----------------------------------------------------------- Not applicable. Item 4. Purpose of Transaction. - -------------------------------- Mr. Steel contributed back to the Issuer 428,000 shares of restricted stock to simplify the Company's capital structure and in an effort to increase stockholder value through the reduction of total outstanding shares. Item 5. Interest in Securities of the Issuer. - ---------------------------------------------- (a) Mr. Steel is the beneficial owner of 303,000 shares of Stock of the Issuer, constituting 2.8% of such class. (b) Mr. Steel has sole power to vote, direct the vote of, dispose of, and direct the disposition of the shares described in (a) above. (c) Not applicable. (d) Not applicable. (e) Not applicable. Item 6. Contracts, Arrangements, Understanding or Relationships with Respect to Securities of the Issuer. - ---------------------------------- 48,000 shares of Class A Common Stock beneficially owned by Mr. Steel are subject to a Restricted Stock Agreement dated January 10, 1997 between Mr. Steel and the Issuer, previously filed with the Securities and Exchange Commission. 250,000 shares of Class A Common Stock underlying options owned by Mr. Steel and exercisable within the next 60 days are subject to certain restrictions in the Incentive Stock Option Agreement dated February 5, 1995 between Alan Steel and the Issuer, previously filed with the Securities and Exchange Commission. Item 7. Material to be Filed as Exhibits. - ------------------------------------------ Not applicable. 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. Date: September 25, 1997 ----------------------------------- Alan Steel -----END PRIVACY-ENHANCED MESSAGE-----