0000921895-20-001145.txt : 20200417
0000921895-20-001145.hdr.sgml : 20200417
20200417173923
ACCESSION NUMBER: 0000921895-20-001145
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200415
FILED AS OF DATE: 20200417
DATE AS OF CHANGE: 20200417
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Manko Joseph M. Jr.
CENTRAL INDEX KEY: 0001664091
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05620
FILM NUMBER: 20800725
MAIL ADDRESS:
STREET 1: 1717 ARCH STREET
STREET 2: 39TH FLOOR
CITY: PHILADELPHIA
STATE: PA
ZIP: 19103
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SAFEGUARD SCIENTIFICS INC
CENTRAL INDEX KEY: 0000086115
STANDARD INDUSTRIAL CLASSIFICATION: INVESTORS, NEC [6799]
IRS NUMBER: 231609753
STATE OF INCORPORATION: PA
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 170 NORTH RADNOR-CHESTER ROAD
STREET 2: SUITE 200
CITY: RADNOR
STATE: PA
ZIP: 19087
BUSINESS PHONE: 6102930600
MAIL ADDRESS:
STREET 1: 170 NORTH RADNOR-CHESTER ROAD
STREET 2: SUITE 200
CITY: RADNOR
STATE: PA
ZIP: 19087
FORMER COMPANY:
FORMER CONFORMED NAME: SAFEGUARD INDUSTRIES INC
DATE OF NAME CHANGE: 19810525
FORMER COMPANY:
FORMER CONFORMED NAME: SAFEGUARD CORP
DATE OF NAME CHANGE: 19690521
4
1
form411238003_04172020.xml
OWNERSHIP DOCUMENT
X0306
4
2020-04-15
0
0000086115
SAFEGUARD SCIENTIFICS INC
SFE
0001664091
Manko Joseph M. Jr.
1717 ARCH STREET
39TH FLOOR
PHILADELPHIA
PA
19103
1
0
0
0
Common Stock, $0.10 par value
2020-04-15
4
A
0
2369
5.4425
A
9612
D
Common Stock, $0.10 par value
304722
I
Horton Capital Management, LLC
Common Stock, $0.10 par value
707845
I
Sierra Capital Investments, L.P.
Common Stock, $0.10 par value
65728
I
Horton Capital Partners Fund, LP
These securities were awarded to the Reporting Person in lieu of quarterly fees for service on the Issuer's Board of Directors, which fees are paid in arrears following the end of the quarter.
Securities held in certain accounts jointly managed by Horton Capital Management, LLC ("HCM") and Maplewood Advisors IM, LLC ("MAIM") (collectively, the "Managed Accounts"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which together with MAIM, act as the investment advisers to the Managed Accounts, may be deemed to beneficially own the securities held in the Managed Accounts for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"). The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
Securities owned directly by Sierra Capital Investments, L.P. ("Sierra"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which together with MAIM, serve as the investment managers of Sierra, and as the managing member of Horton Capital Partners, LLC ("HCP"), which together with Maplewood Global Partners, LLC, serve as the general partners of Sierra, may be deemed to beneficially own the securities directly held by Sierra for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
Securities owned directly by Horton Capital Partners Fund, LP ("HCPF"). The Reporting Person, solely by virtue of his position as the managing member of HCM, which serves as the investment manager of HCPF, and as the managing member of HCP, which serves as the general partner of HCPF, may be deemed to beneficially own the securities directly held by HCPF for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
/s/ Joseph M. Manko Jr.
2020-04-17