-----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, WCXh5FIr3CswN1mFSEljt3dE+qlmTP8/pQkViAXQ1d0aqYSrK1Ri2zeoas3Xs7oK zllUmW02wuRL/awCyg+uPA== 0000950123-97-001031.txt : 19970222 0000950123-97-001031.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950123-97-001031 CONFORMED SUBMISSION TYPE: SC 13G CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970212 SROS: NONE GROUP MEMBERS: DELTEC ASSET MANAGEMENT CORP/ GROUP MEMBERS: KIKIS FUSCO ASSET MANAGEMENT CORPORATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALPHA BETA TECHNOLOGY INC CENTRAL INDEX KEY: 0000841168 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 042997834 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-44719 FILM NUMBER: 00000000 BUSINESS ADDRESS: STREET 1: ONE INNOVATION DR CITY: WORCESTER STATE: MA ZIP: 01605 BUSINESS PHONE: 5087986900 MAIL ADDRESS: STREET 1: ONE INNOVATION DR CITY: WORCESTER STATE: MA ZIP: 016505 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DELTEC ASSET MANAGEMENT CORP/ CENTRAL INDEX KEY: 0000937906 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 135133790 STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122301400 MAIL ADDRESS: STREET 1: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G 1 SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Information Statement Pursuant to Rule 13d-1 Under the Securities Exchange Act of 1934 ALPHA-BETA TECHNOLOGY INC. (Name of Issuer) Common Stock (Title of Class of Securities) 02071K 10 5 (CUSIP Number) Check the following box if a fee is being paid with this statement /X/. (Page 1 of 10 Pages) (Exhibit Index on Page 8) 2 CUSIP NO. 02071K 10 5 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Deltec Asset Management Corporation S.S. or I.R.S. Identification No. of Above Person I.R.S. No. 13-5133790 - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) x if a Member of a Group (b) (See Instructions) - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization State of New York - -------------------------------------------------------------------------------- Number of (5)Sole Voting Power 405,002 Shares Bene- -------------------------------------------------------------- ficially (6)Shared Voting Owned by Power -- Each Report- -------------------------------------------------------------- ing Person (7)Sole Dispositive With Power 405,002 -------------------------------------------------------------- (8)Shared Dispositive Power -- - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 405,002 - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 2.97% - -------------------------------------------------------------------------------- 12) Type of Reporting Person (See Instructions) BD, IA, CO - -------------------------------------------------------------------------------- -2- 3 CUSIP NO. 02071K 10 5 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Kikis Fusco Asset Management Corporation S.S. or I.R.S. Identification No. of Above Person I.R.S. No. 13-3739921 - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) x if a Member of a Group (b) (See Instructions) - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization State of New York - -------------------------------------------------------------------------------- Number of (5)Sole Voting Power 584,234 Shares Bene- -------------------------------------------------------------- ficially (6)Shared Voting Owned by Power -- Each Report- -------------------------------------------------------------- ing Person (7)Sole Dispositive With Power 584,234 ------------------------------------------------------------- (8)Shared Dispositive Power -- - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 584,234 - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row (9) 4.28% - -------------------------------------------------------------------------------- 12) Type of Reporting Person (See Instructions) IA, CO - -------------------------------------------------------------------------------- -3- 4 ITEM 1(a). NAME OF ISSUER: Alpha-Beta Technology Inc. (the "Company") ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: Three Biotech Park, One Innovation Drive, Worcester, Massachusetts 01605 ITEM 2(a). NAME OF PERSON FILING: Deltec Asset Management Corporation ("Deltec") Kikis Fusco Asset Management Corporation ("Kikis Fusco") ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 535 Madison Avenue, New York, New York 10022 (for both Reporting Persons) ITEM 2(c). CITIZENSHIP: State of New York (for both Reporting Persons) ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(e). CUSIP NUMBER: 02071K 10 5 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A: (a) /X/ Broker or Dealer registered under Section 15 of the Act (Deltec only), (b) / / Bank as defined in Section 3(a)(6) of the Act, (c) / / Insurance Company as defined in Section 3(a)(19) of the Act, (d) / / Investment Company registered under Section 8 of the Investment Company Act, -4- 5 (e) /X/ Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, (f) / / Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F), (g) / / Parent Holding Company, in accordance with Rule 13d-1(b)(ii) (G)(see Item 7), (h) /X/ Group, in accordance with Rule 13d-1(b)(1)(ii)(H). ITEM 4. OWNERSHIP: All data is as of December 31, 1995. (a) Amount Beneficially Owned: Deltec: 405,002 shares. Kikis Fusco: 584,234 shares. (b) Percent of Class: Deltec: 2.97%. Kikis Fusco: 4.28%. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: Deltec: 405,002 shares. Kikis Fusco: 584,234 shares. (ii) shared power to vote or to direct the vote: Deltec: Not applicable. Kikis Fusco: Not applicable. (iii) sole power to dispose or to direct the disposition of: Deltec: 405,002 shares. Kikis Fusco: 584,234 shares. (iv) shared power to dispose or to direct the disposition of: Deltec: Not applicable. Kikis Fusco: Not applicable. -5- 6 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. All of the 405,002 shares of the Company's Common Stock referred to in Item 4 as held by Deltec are held by Deltec for the account of its brokerage or investment advisory clients over whose accounts Deltec exercises discretionary authority as to voting, disposition and other matters. Such clients have the right to receive dividends and the proceeds of the sale of such shares. All of the 584,234 shares of the Company's Common Stock referred to in Item 4 as held by Kikis Fusco are held by Kikis Fusco for the account of investment advisory clients over whose accounts Kikis Fusco exercises discretionary authority as to voting, disposition and other matters. Such clients have the right to receive dividends and the proceeds of the sale of such shares. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. See attached Exhibit (a). ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. -6- 7 SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement concerning the undersigned is true, complete and correct. Dated:January 26, 1996 DELTEC ASSET MANAGEMENT CORPORATION By /s/ STEPHEN ZUPPELLO -------------------------------------- Stephen Zuppello Managing Director After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement concerning the undersigned is true, complete and correct. Dated: January 26, 1996 KIKIS FUSCO ASSET MANAGEMENT CORPORATION By /s/ THOMAS P. KIKIS -------------------------------------- Thomas P. Kikis Managing Director -7- -----END PRIVACY-ENHANCED MESSAGE-----