-----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, O3YJTAtyKw3rEUPdS5d9vL486J9H1qTSA6VHZxzHaTpmj4n6CfYVGVg5DJpCEsyD MUYh+6VlFT4RRGyLp0EoLw== 0000909450-02-000208.txt : 20021008 0000909450-02-000208.hdr.sgml : 20021008 20021007210411 ACCESSION NUMBER: 0000909450-02-000208 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020911 FILED AS OF DATE: 20021008 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SONEX RESEARCH INC CENTRAL INDEX KEY: 0000723312 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 521188993 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14465 FILM NUMBER: 02783539 BUSINESS ADDRESS: STREET 1: 23 HUDSON ST CITY: ANNAPOLIS STATE: MD ZIP: 21401 BUSINESS PHONE: 4102665556 MAIL ADDRESS: STREET 1: 23 HUDSON STREET CITY: ANNAPOLIS STATE: MD ZIP: 21401 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000909450 RELATIONSHIP: OWNER IRS NUMBER: 770210467 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 50 OSGOOD PLACE PENTHOUSE CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 4159811039 MAIL ADDRESS: STREET 1: 50 OSGOOD PLACE CITY: SAN FRANCISCO STATE: CA ZIP: 94133 FORMER COMPANY: FORMER CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT/GRUBER JON D ET AL DATE OF NAME CHANGE: 19951108 4 1 sonx4es0911.txt FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 OMB APPROVAL OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response. . . . 0.5 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) 1.Name and Address of Reporting Person* Eric Swergold, 50 Osgood Place, San Francisco, CA 94133 2.Issuer Name and Ticker or Trading Symbol Sonex Research, Inc. 3.I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 4.Statement for Month/Year 09/02 5.If Amendment, Date of Original (Month/Year) 6.Relationship of Reporting Person(s) to Issuer (Check all applicable) ___Director__X_10% Owner ___Officer(give title below)___Other(specify below) 7.Individual or Joint/Group Reporting (check applicable line) __X_Form Filed by One Reporting Person ___Form Filed by More than One Reporting Person Table I-Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security(Instr. 3) 2. Trans-action Date (Month/ Day/ Year) 3. Trans-action Code(Instr. 8) 4. Securities Acquired (A) or Disposed of (D) - Amount, A or D, Price 5. Amount of Securities Beneficially Owned at the end of Issuer's Fiscal Year 6. Owner-ship Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) 1. 2. 3. 4. 4. 4. 5. 6. 7 Title Date Code Amount A/D Price Owned Ownership Nature - ----------------------------------------------------------------------------- Common 9/11/02 S 11000 D 0.22 1,206,446 I By LP and IAA* *By LP and IAA= By Limited Partnerships and Investment Advisory Accounts Table II-Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts calls warrants options, convertible securities) 1.Title of Derivative Security (Instr. 3) 2.Conver- sion or Exercise Price of Derivative Security 3.Trans- action Date (Month/ Day/ Year) 4.Trans- action Code (Instr. 8) 5.Number of Derivative Securities Acquired (A) or Disposed of (D) 6.Date Exercisable and Expiration Date (Month/Day/Year) 7.Title and Amount of Underlying Securities (Instr. 3 and 4) 8.Price of Derivative Security (Instr. 5) 9.Number of Derivative Securities Beneficially Owned at End of Year 10.Ownership of Derivative Security: Direct (D) or Indirect (I) 11.Nature of Indirect Beneficial Ownership Exercise Transaction Number Date Title Number Ownership Nature Title Price Date Code A or D Exercise Owned D/I - ----------------------------------------------------------------------------- Preferred (1) Common 2071428 I By LP and IAA* Explanation of Responses: *By LP and IAA= By Limited Partnerships and Investment Advisory Accounts (1) Represents shares issuable upon conversion of 725,000 shares of Preferred Stock at the rate of $.35 per share ____________________________________ **Signature of Reporting Person ____________________________________ Date **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note:File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----