-----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, Ed3zIEGwy4MKod7nhXvbxif0AbiPGdlpxC2JG60EyCaspE15A2hWkR/Q9s8Ew7Ey YRdOWYHdO9srv/ejqS8iIg== 0000950148-99-000944.txt : 19990428 0000950148-99-000944.hdr.sgml : 19990428 ACCESSION NUMBER: 0000950148-99-000944 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990427 GROUP MEMBERS: LIVIAKIS FINANCIAL COMMUNICATIONS INC GROUP MEMBERS: ROBERT B. PRAG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PEN INTERCONNECT INC CENTRAL INDEX KEY: 0001000266 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 870430260 STATE OF INCORPORATION: UT FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-53913 FILM NUMBER: 99601342 BUSINESS ADDRESS: STREET 1: 1601 ALTON PARKWAY CITY: IRVINE STATE: CA ZIP: 92606 BUSINESS PHONE: 9492613131 MAIL ADDRESS: STREET 1: 1601 ALTON PARKWAY CITY: IRVINE STATE: CA ZIP: 92606 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LIVIAKIS FINANCIAL COMMUNICATIONS INC CENTRAL INDEX KEY: 0000930254 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 68031139 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 2420 K ST STE 220 CITY: SACRAMENTO STATE: CA ZIP: 95816 BUSINESS PHONE: 9164486084 MAIL ADDRESS: STREET 1: LIVIAKIS FINANCIAL COMM INC STREET 2: 2420 K ST STE 220 CITY: SACRAMENTO STATE: CA ZIP: 95816 SC 13G/A 1 SC 13G/A 1 --------------------------------- OMB APPROVAL --------------------------------- OMB Number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response..........14.90 --------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* PEN INTERCONNECT, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.002 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 706583-10-1 ---------------------------- (CUSIP Number) March 15, 1999 --------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. 2 - --------------------- ----------------- CUSIP NO. 706583-10-1 13G PAGE 2 OF 7 PAGES - --------------------- ----------------- - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). LIVIAKIS FINANCIAL COMMUNICATIONS, INC 68-0311399 - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (SEE INSTRUCTIONS) (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - ------------------------------------------------------------------------------- (5) SOLE VOTING POWER 281,250 NUMBER OF -------------------------------------------------------- SHARES (6) SHARED VOTING POWER BENEFICIALLY OWNED BY -0- EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH 281,250 -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER -0- - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 281,250 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 4.6% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - ------------------------------------------------------------------------------- 3 - --------------------- ----------------- CUSIP NO. 706583-10-1 13G PAGE 3 OF 7 PAGES - --------------------- ----------------- - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). ROBERT B. PRAG - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (SEE INSTRUCTIONS) (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------- (5) SOLE VOTING POWER 93,750 NUMBER OF -------------------------------------------------------- SHARES (6) SHARED VOTING POWER BENEFICIALLY OWNED BY -0- EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH 93,750 -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER -0- - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 93,750 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 1.5% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - ------------------------------------------------------------------------------- 4 Page 4 of 7 ITEM 1(a). NAME OF ISSUER: Pen Interconnect, Inc., a Utah corporation ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 1601 Alton Parkway Irvine, California 92606 ITEM 2(a). NAME(S) OF PERSON(S) FILING: Liviakis Financial Communications, Inc. ("LFC") Robert B. Prag ("RBP") ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: LFC: 2420 "K" Street, Suite 220, Sacramento, California 95816 RBP: 2455 El Amigo Road, Del Mar, California 92014 ITEM 2(c). CITIZENSHIP: LFC is a California corporation. RBP is a citizen of the United States of America. ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, par value $.01 per share ITEM 2(e). CUSIP NUMBER: 706583-10-1 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b) OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: If this statement is filed pursuant to Rule 13d-1(c), check this box [X] 5 Page 5 of 7 ITEM 4. OWNERSHIP. (a) Amount beneficially owned: LFC: 281,250 shares RBP: 93,750 shares RBP disclaims beneficial ownership of the shares beneficially owned by LFC, and LFC disclaims beneficial ownership of the shares beneficially owned by RBP. (b) Percent of class: LFC: 4.6% RBP: 1.5% In each case, the percent of class is calculated based upon the 6,069,160 shares of Common Stock reported by the Issuer in its Quarterly Report on Form 10-QSB for the quarter ended December 31, 1998 as outstanding on February 10, 1999. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: LFC: 281,250 shares RBP: 93,750 shares (ii) Shared power to vote or direct the vote: LFC: -- RBP: -- (iii) Sole power to dispose or to direct the disposition of: LFC: 281,250 shares RBP: 93,750 shares (iv) Shared power to dispose or direct the disposition of: LFC: -- RBP: -- 6 Page 6 of 7 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting persons have ceased to be the beneficial owners of more than five percent of the class of securities, check the following [X] On March 15, 1999, RBP, who had been an executive officer and director of LFC, resigned those positions. While an officer and director of LFC, RBP had filed jointly with LFC a statement on Schedule 13G with respect to the Issuer's Common Stock. Any group status that may have existed between LFC and RBP with respect to the Issuer's Common Stock terminated upon RBP's resignation as an officer and director of LFC. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. The group consisting of LFC and RBP dissolved on March 15, 1999. All further filings by LFC and RBP, respectively, with regard to the Issuer's Common Stock will be filed by them, if required, in their individual capacities. 7 Page 7 of 7 ITEM 10. CERTIFICATIONS. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. April 22, 1999 ------------------------------- Date LIVIAKIS FINANCIAL COMMUNICATIONS, INC. By: /s/John M. Liviakis --------------------------- John M. Liviakis, President /s/Robert B. Prag ------------------------------- Robert B. Prag -----END PRIVACY-ENHANCED MESSAGE-----