-----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, UQ5LRC2HkeP6uz79vL/gdEJkYNkK4h9LOc1dOhKLp4m2wJ9kcUbgjZ7ZKuaaRbCq BfcG55W4Vlf3twOv0tv54A== 0001036329-98-000001.txt : 19980121 0001036329-98-000001.hdr.sgml : 19980121 ACCESSION NUMBER: 0001036329-98-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980120 SROS: NASD 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: 4 SEC ACT: SEC FILE NUMBER: 000-20023 FILM NUMBER: 98508882 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 COMPANY DATA: COMPANY CONFORMED NAME: ROSS FINANCIAL CORP CENTRAL INDEX KEY: 0001036329 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 980138450 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: PO BOX 31363 SMB STREET 2: MIRCO COMMERCE CENTRE CITY: CAYMAN ISLANDS BUSINESS PHONE: 3459497950 MAIL ADDRESS: STREET 1: PO BOX 31363 SMB STREET 2: MIRCO COMMERCE CENTRE CITY: CAYMAN ISLANDS 4 1 - ------- FORM 4 - ------- STATEMENT OF CHANGES OF BENEFICIAL OWNERSHIP - ------------------------------------------------------------------ 1. Name and Address of Reporting Person (a) Ross Financial Corporation P.O. Box 31363-SMB Cayman Islands, BWI (b) Dart, Kenneth B. P.O. Box 31363-SMB Cayman Islands, BWI (c) STS Limited P.O. Box 31363-SMB Cayman Islands, BWI - ------------------------------------------------------------------ 2. Issuer Name and Ticker or Trading Symbol Alpha-Beta Technology, Inc. ABTI CUSIP# 02071K105 - ------------------------------------------------------------------ 3. IRS or Social Security Number of Reporting Person (Voluntary) - ------------------------------------------------------------------ 4. Statement for Month/Year December, 1997 - ------------------------------------------------------------------ 5. If Amendment, Date of Original (Month/Day/Year) - ------------------------------------------------------------------ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) 10% Owner - ------------------------------------------------------------------ 7. Individual or Joint/Group Filing Form filed by More than One Reporting Person - ------------------------------------------------------------------ TABLE I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ----------------------------------------------------------------- 1. Title of Security COMMON STOCK, $0.01 PAR VALUE PER SHARE - ------------------------------------------------------------------ 2-4 Transaction Date Transaction Securities Acquired (A) (Month/Day/Year) Code Amount Price (per share) 12/03/97 P 25,000 2.875 12/04/97 P 20,000 2.875 12/05/97 P 37,500 2.875 12/05/97 P 5,000 2.8438 12/05/97 P 7,500 2.8125 12/08/97 P 80,000 2.875 12/08/97 P 15,000 2.8125 12/09/97 P 25,000 2.975 12/10/97 P 37,500 2.875 12/11/97 P 75,000 2.875 12/12/97 P 55,000 2.875 12/15/97 P 33,200 2.875 12/16/97 P 55,000 2.875 12/17/97 P 55,000 2.875 12/18/97 P 2,000 2.8125 12/18/97 P 73,000 2.875 12/19/97 P 5,000 2.844 12/19/97 P 5,000 2.781 12/19/97 P 10,000 2.875 12/19/97 P 55,000 2.813 12/19/97 P 20,000 2.75 12/22/97 P 100,000 2.875 12/22/97 P 10,000 2.8125 12/23/97 P 30,000 2.6875 12/24/97 P 25,000 2.65625 12/24/97 P 5,000 2.625 12/26/97 P 20,000 2.594 12/29/97 P 55,000 2.5625 12/29/97 P 75,000 2.5313 12/30/97 P 50,000 2.5625 12/30/97 P 30,000 2.53125 12/30/97 P 15,000 2.5 12/30/97 P 15,000 2.46875 12/31/97 P 30,000 2.4375 12/31/97 P 9,000 2.5625 12/31/97 P 21,000 2.59375 All securities were Acquired. 5. Amount of Securities Beneficially Owned at End of Month. 4,673,495 - ------------------------------------------------------------------ 6. Ownership Form: Direct (D) or Indirect (I) Direct Ross Financial Corporation 4,673,495 (D) Indirect Kenneth B. Dart 4,673,495 (I) Indirect STS Limited 4,673,495 (I) - ----------------------------------------------------------------- 7. Nature of Indirect Beneficial Ownership By Ross Financial Corporation - ----------------------------------------------------------------- Page 1 - ----------------------------------------------------------------- TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED NONE. - ----------------------------------------------------------------- Explanation of Responses: Kenneth B. Dart is the 100% shareholder of STS, Limited. STS, Limited is the 100% shareholder of Ross Financial Corporation. Ross Financial Corporation owns all of the securities directly. Ross Financial Corporation By: Kenneth B. Dart, Its President Dated: January 10, 1998 STS Limited By: Kenneth B. Dart, Its President Dated: January 10, 1998 Kenneth B. Dart Dated: January 10, 1998 - ------------------------------------------------------------------ Page 2 -----END PRIVACY-ENHANCED MESSAGE-----