-----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, KxXhq1ff5PNLiDB5bSEIrJQJQNZImZbSvn/S9fEOaM4zQ+3Ly8Z9bs+76eoD287X ZeX5+vv7bX0oWoYvHoDPAA== 0001061096-98-000001.txt : 19980512 0001061096-98-000001.hdr.sgml : 19980512 ACCESSION NUMBER: 0001061096-98-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980430 FILED AS OF DATE: 19980511 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FARO TECHNOLOGIES INC CENTRAL INDEX KEY: 0000917491 STANDARD INDUSTRIAL CLASSIFICATION: MEASURING & CONTROLLING DEVICES, NEC [3829] IRS NUMBER: 593157093 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-23081 FILM NUMBER: 98615215 BUSINESS ADDRESS: STREET 1: 125 TECHNOLOGY PARK CITY: LAKE MARY STATE: FL ZIP: 32746-6204 BUSINESS PHONE: 4073339911 MAIL ADDRESS: STREET 1: FARO TECHNOLOGIES INC STREET 2: 125 TECHNOLOGY PARK CITY: LAKE MARY STATE: FL ZIP: 32746 COMPANY DATA: COMPANY CONFORMED NAME: RAAB SIMON CENTRAL INDEX KEY: 0001061096 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 125 TECHNOLOGY PARK CITY: LAKE MARY STATE: FL ZIP: 32746 BUSINESS PHONE: 4073339911 4 1 FORM 4 - APRIL 1998 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Raab, Simon c/o FARO Technologies, Inc. 125 Technology Park Lake Mary, FL 32746 USA 2. Issuer Name and Ticker or Trading Symbol FARO Technologies, Inc. FARO 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year April 1998 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Chairman of the Board, President, and Chief Executive Officer 7. Individual or Joint/Group Filing (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 |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock, par value $.0|04/27/|J | |2,765,785 (1) |D |N/A |2,765,795 |I |Note (2) | 01 |98 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| (1) Transferred from the Xe| | | | | | | | | | non Research, Inc. Irrevoca| | | | | | | | | | ble Trust of 1997 UTD | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| 12/31/97 of which Wilmingto| | | | | | | | | | n Trust Company was the Tru| | | | | | | | | | stee, and Xenon | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Research, Inc. was the sole| | | | | | | | | | beneficiary effective Apri| | | | | | | | | | l 27, 1998, when the | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Trust was dissolved. Simon| | | | | | | | | | Raab and Diana Raab, his s| | | | | | | | | | pouse, are the sole | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| shareholders of Xenon Resea| | | | | | | | | | rch, Inc. | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Employee Stock Option |$13.20 |N/A | | | | |09/13|09/13|Common Stock|26,666 | | | | | (Right to Buy) | | | | | | |/98 |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |09/13|09/13|Common Stock|26,667 | | | | | | | | | | | |/99 |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |09/13|09/13|Common Stock|26,667 | |80,000 |D | | | | | | | | |/00 |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$12.75 |02/17|A |V| 100,000 |A |02/17|02/17|Common Stock|100,000| |100,000 |D | | (Right to Buy) | |/98 | | | | |/98 |/08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: Note (2): Represents shares owned by Xenon Research, Inc. All of the outstanding capital stock of Xenon Research, Inc. is owned by Simon Raab and Diana Raab, his spouse. SIGNATURE OF REPORTING PERSON Simon Raab DATE 05/08/98 -----END PRIVACY-ENHANCED MESSAGE-----