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