0000921895-20-003251.txt : 20201215
0000921895-20-003251.hdr.sgml : 20201215
20201215172539
ACCESSION NUMBER: 0000921895-20-003251
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201215
FILED AS OF DATE: 20201215
DATE AS OF CHANGE: 20201215
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: 201390496
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: 150 NORTH RADNOR-CHESTER ROAD
STREET 2: SUITE F-200
CITY: RADNOR
STATE: PA
ZIP: 19087
BUSINESS PHONE: 610 293 0600
MAIL ADDRESS:
STREET 1: 150 NORTH RADNOR-CHESTER ROAD
STREET 2: SUITE F-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_12152020.xml
OWNERSHIP DOCUMENT
X0306
4
2020-12-15
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
2020-12-15
4
J
0
707845
0
D
0
I
Sierra Capital Investments, L.P.
Common Stock, $0.10 par value
25465
D
Common Stock, $0.10 par value
304722
I
Horton Capital Management, LLC
Common Stock, $0.10 par value
162299
I
Horton Capital Partners Fund, LP
In connection with the expiration of that certain limited partnership agreement of Sierra Capital Investments, L.P. ("Sierra"), which terminated pursuant to its terms, Horton Capital Management, LLC ("HCM") and Horton Capital Partners, LLC ("HCP") have relinquished control over Sierra to Maplewood Advisors IM, LLC and Maplewood Global Partners, LLC. Each of HCM and HCP no longer retain voting or dispositive power over the securities held directly by Sierra and accordingly, the Reporting Person is no longer deemed to beneficially own the securities held directly by Sierra.
Securities held in certain accounts (collectively, the "Managed Accounts") managed by HCM. The Reporting Person, solely by virtue of his position as the managing member of HCM, which acts as the investment adviser 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 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.
2020-12-15