-----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, MglphJQD6hEDhsIJzKGssBCT69LpZe2rFwxjobXvqILIEGre3656ZPOc15U0Zon+ rMofWsiX6rWgPhr8VUCZcg== 0000950117-00-000735.txt : 20000411 0000950117-00-000735.hdr.sgml : 20000411 ACCESSION NUMBER: 0000950117-00-000735 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000329 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ECOGEN INC CENTRAL INDEX KEY: 0000814050 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE CHEMICALS [2870] IRS NUMBER: 222487948 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-38660 FILM NUMBER: 583457 BUSINESS ADDRESS: STREET 1: 2000 CABOT BLVD W #170 CITY: LANGHORNE STATE: PA ZIP: 19047-1811 BUSINESS PHONE: 2157571590 MAIL ADDRESS: STREET 1: 2005 CABOT BLVD W CITY: LANGHORNE STATE: PA ZIP: 19047 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HARRIS JAY R CENTRAL INDEX KEY: 0001107275 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O GOLDSMITH & HARRIS INC STREET 2: 80 PINE STREET CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2125145515 SC 13G 1 JAY R. HARRIS, SC13G Schedule 13G Page 1 of 9 - -------------------------------------------------------------------------------- SEC POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION 1745 CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM (3-98) DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. - -------------------------------------------------------------------------------- ------------------------------------- OMB APPROVAL ------------------------------------- OMB Number: 3235-0145 ------------------------------------- Expires: November 30, 1999 ------------------------------------- Estimated average burden hours per response ....... 14.9 ------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ______)* Ecogen Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 Par Value Per Share - -------------------------------------------------------------------------------- (Title of Class of Securities) 278864202 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 1999 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [x] Rule 13d-1(c) [ ] Rule 13d-1(d) *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 the disclosures provided in a prior cover page. The information required in 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). http://www.sec.gov/smbus/forms/13g.htm 1/5/00 Schedule 13G Page 2 of 9 CUSIP No. 278864202 - ----------------------------------------------------------------------------------------------------------------------------------- 1. Names of Reporting Persons. Jay R. Harris I.R.S. Identification Nos. of above persons (entities only). ................................................................................................................................. - ----------------------------------------------------------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) ............................................................................................................................ (b) ............................................................................................................................ - ----------------------------------------------------------------------------------------------------------------------------------- 3. SEC Use Only ................................................................................................................ - ----------------------------------------------------------------------------------------------------------------------------------- 4. Citizenship or Place of Organization U.S. - ----------------------------------------------------------------------------------------------------------------------------------- 5. Sole Voting Power 207,300 Number of --------------------------------------------------------------------------------------------------------------- Shares 6. Shared Voting Power 0 Beneficially --------------------------------------------------------------------------------------------------------------- Owned by Each 7. Sole Dispositive Power 239,700 Reporting --------------------------------------------------------------------------------------------------------------- Person With 8. Shared Dispositive Power 738,837 - ----------------------------------------------------------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 978,537 - ----------------------------------------------------------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)............ - ----------------------------------------------------------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (11) 9.8% - ----------------------------------------------------------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - -----------------------------------------------------------------------------------------------------------------------------------
http://www.sec.gov/smbus/forms/13g.htm 1/5/00 SCHEDULE 13G ITEM 1. (a) The name of the issuer is Ecogen Inc. (the "Corporation"). (b) The Corporation's executive office is located 2005 Cabot Boulevard West, P.O. Box 3023, Langhorne, PA 19047-3023 ITEM 2. (a) The person filing this statement is Jay R. Harris. (b) Mr. Harris' residence is 130 East End Avenue, New York, NY 10028. (c) Mr. Harris is a United States citizen. (d) The Security is common stock, $0.01 par value per share. (e) The CUSIP Number of the Security is 278864202. ITEM 3. Not applicable. ITEM 4. (a) Mr. Harris is the beneficial owner of 978,537 shares of the Security through the following: - his direct, personal ownership of 28,400 shares of the Security; - his IRA which holds 53,800 shares of the Security; - his power of attorney for the management of the IRA of his mother, Lily Harris, which holds 20,000 shares of the Security; - his power of attorney for the management of the IRA of his adult daughter, Lisa Eng, which holds 5,400 shares of the Security; - his power of attorney for the management of the IRA of his adult son, James Harris, which holds 7,000 shares; - his position as General Partner of One GT Associates, which owns 125,100 shares of the Security; and - his position as President of Goldsmith & Harris Incorporated ("G&H"), a broker-dealer registered under Section 15 of the Securities Exchange Act of 1934 and an investment adviser registered under the Investment Advisers Act of 1940, in accordance with Section 240.13d-1(b)(1)(ii)(E), by virtue of G&H's investment discretion over accounts of its customers that hold 738,837 shares of the Security. (b) The amount of shares of the Security beneficially owned by Mr. Harris is 9.8% of the total outstanding shares of the Security. (c) (i) Mr. Harris has the sole power to vote or to direct the vote of 207,300 shares of the Security. (ii) Not applicable. (iii) Mr. Harris has the sole power to dispose, or to direct the disposition, of 239,700 shares of the Security. (iv) Mr. Harris shares with G&H the power to dispose, or to direct the disposition, of 738,837 shares of the Security. ITEM 5. Not applicable ITEM 6. The clients of G&H, Lily Harris, Lisa Eng, James Harris, and One GT Associates may have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, shares of the Security. None of these persons has an interest in 5% or more of the total outstanding shares of the Security. ITEM 7. Not applicable. ITEM 8. Not applicable. ITEM 9. Not applicable. ITEM 10. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. March 28, 2000 - -------------- Date By /s/ Jay R. Harris --------------------------------------- Jay R. Harris -----END PRIVACY-ENHANCED MESSAGE-----