-----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, Cxut9oxteo2GSIKmW6Rs6z7LvTHw7YVJ9gfsC2o/Khqxma4ZmsRMbYwihQxRu5GH tvmSXGTpwvnpMcWkSMi1Xg== 0000935836-02-000376.txt : 20020913 0000935836-02-000376.hdr.sgml : 20020913 20020912173823 ACCESSION NUMBER: 0000935836-02-000376 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020913 GROUP MEMBERS: KEVIN L. WENCK SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPTICAL CABLE CORP CENTRAL INDEX KEY: 0001000230 STANDARD INDUSTRIAL CLASSIFICATION: DRAWING AND INSULATING NONFERROUS WIRE [3357] IRS NUMBER: 541237042 STATE OF INCORPORATION: VA FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49496 FILM NUMBER: 02762917 BUSINESS ADDRESS: STREET 1: 5290 CONCOURSE DR CITY: ROANOKE STATE: VA ZIP: 24019 BUSINESS PHONE: 5402650690 MAIL ADDRESS: STREET 1: 5290 CONCOURSE DRIVE CITY: ROANOKE STATE: VA ZIP: 24019 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: POLYNOUS CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001093839 IRS NUMBER: 680358191 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 345 CALIFORNIA STREET STREET 2: SUITE 1220 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4159563384 MAIL ADDRESS: STREET 1: 345 CALIFORNIA STREET STREET 2: SUITE 1220 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 SC 13G 1 optical-fixed.htm

SEC 1745

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

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SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. ___________)

 

Optical Cable Corporation

(Name of Issuer)

 

common stock

(Title of Class of Securities)

 

683827-20-8

(CUSIP Number)

 

June 5, 2002

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

[X] 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).

 

1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

Polynous Capital Management, Inc. ("PCM")

2. Check the Appropriate Box if a Member of a Group (See Instructions)

(a) X

(b)

3. SEC Use Only

4. Citizenship or Place of Organization California

Number of

Shares

Beneficially

Owned by

Each Reporting

Person With

5. Sole Voting Power

6. Shared Voting Power 576,974

7. Sole Dispositive Power

8. Shared Dispositive Power 576,974

9. Aggregate Amount Beneficially Owned by Each Reporting Person 576,974

10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) ______

11. Percent of Class Represented by Amount in Row (9) 8.32%

12. Type of Reporting Person (See Instructions) CO, IA

________

________

________

 

1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

Kevin Laurence Wenck ("Wenck")

2. Check the Appropriate Box if a Member of a Group (See Instructions)

(a) X

(b)

3. SEC Use Only

4. Citizenship or Place of Organization U.S.A.

Number of

Shares

Beneficially

Owned by

Each Reporting

Person With

5. Sole Voting Power

6. Shared Voting Power 576,974

7. Sole Dispositive Power

8. Shared Dispositive Power 576,974

9. Aggregate Amount Beneficially Owned by Each Reporting Person 576,974

10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) ______

11. Percent of Class Represented by Amount in Row (9) 8.32%

12. Type of Reporting Person (See Instructions) IN

________

________

________

 

1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

Polynous Trust (the "Trust")

2. Check the Appropriate Box if a Member of a Group (See Instructions)

(a)

(b) X

3. SEC Use Only

4. Citizenship or Place of Organization Delaware

Number of

Shares

Beneficially

Owned by

Each Reporting

Person With

5. Sole Voting Power

6. Shared Voting Power 385,312

7. Sole Dispositive Power

8. Shared Dispositive Power 385,312

9. Aggregate Amount Beneficially Owned by Each Reporting Person 385,312

10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) ______

11. Percent of Class Represented by Amount in Row (9) 5.55%

12. Type of Reporting Person (See Instructions) IV, OO

________

________

________

 

Item 1.

(a) Name of Issuer

Optical Cable Corporation (the "Issuer")

(b) Address of Issuer's Principal Executive Offices

5290 Concourse Drive, Roanoke, Virginia 24019

Item 2.

(a) The names of the persons filing this statement are:

Polynous Capital Management, Inc.

Kevin L. Wenck

Polynous Trust







(collectively, the "Filers").

(b) The principal business office of the Filers is located at:

One Pine Street, Suite 2208

San Francisco, CA 94111

(c) For citizenship of Filers, see Item 4 of the cover sheet for each Filer.

(d) This statement relates to shares of common stock of the Issuer (the "Stock").

(e) The CUSIP number of the Issuer is: 683827-20-8

Item 3. If this statement is filed pursuant to rule 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

(a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

(b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

(c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

(d) [X] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

(e) [X] An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E).

(f) [ ] An employee benefit plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F).

(g) [ ] A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G).

(h) [ ] A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).

(i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).

(j) [ ] Group, in accordance with section 240.13d-1(b)(1)(ii)(J).

 

Item 4. Ownership.

See Items 5-9 and 11 of the cover page for each Filer. For purposes of calculating the percentage ownership, the Filers have assumed that the number of shares outstanding after the one-for-eight stock split effective July 31, 2002, is 6,928,910 (the number of shares outstanding on July 30, 2002, 55,431,279, divided by eight).

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 person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ].

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

PCM is a registered investment adviser whose clients have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Stock. Wenck is the President and controlling shareholder of PCM. PCM is the investment adviser of the Trust. Other than the Trust, no individual client's holdings of the Stock are more than five percent of the outstanding Stock.

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.

PCM is a registered investment adviser. Wenck is the controlling shareholder of Polynous. PCM and Wenck constitute a group as defined in Rule 13d-5(b)(1).

The Trust is a registered investment company. The Trust is filing jointly with the other filers, but not as a member of a group, and expressly disclaims membership in a group.

Item 9. Notice of Dissolution of Group

Not applicable.

Item 10. Certification.

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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.

Dated: September 12, 2002

POLYNOUS CAPITAL MANAGEMENT, INC.

 

By: /s/ Kevin L. Wenck

Kevin L. Wenck

President

 

 

 

/s/ Kevin L. Wenck

Kevin L. Wenck

 

POLYNOUS TRUST

 

By: /s/ Kevin L. Wenck

Kevin L. Wenck

President and Treasurer

 

 

EXHIBIT A

AGREEMENT REGARDING JOINT FILING

OF STATEMENT ON SCHEDULE 13D OR 13G

The undersigned agree to file jointly with the Securities and Exchange Commission (the "SEC") any and all statements on Schedule 13D or Schedule 13G (and any amendments or supplements thereto) required under section 13(d) of the Securities Exchange Act of 1934, as amended, in connection with purchases and sales by the undersigned of securities of any issuer, until such time as the undersigned file with the SEC a statement terminating this Agreement Regarding Joint Filing of Statement on Schedule 13D or 13G. For that purpose, the undersigned hereby constitute and appoint Polynous Capital Management, Inc., a California corporation, as their true and lawful agent and attorney-in-fact, with full power and authority for and on behalf of the undersigned to prepare or cause to be prepared, sign, file with the SEC and furnish to any other person all certificates, instruments, agreements and documents necessary to comply with section 13(d) and section 16(a) of the Securities Exchange Act of 1934, a s amended, in connection with said purchases and sales, and to do and perform every act necessary and proper to be done incident to the exercise of the foregoing power, as fully as the undersigned might or could do if personally present, until such time as the undersigned file with the SEC a statement terminating this Agreement Regarding Joint Filing of Statement on Schedule 13D or 13G.

DATED: September 12, 2002

 

 

/s/ Kevin L. Wenck

Kevin L. Wenck

 

POLYNOUS CAPITAL MANAGEMENT, INC.

By: /s/ Kevin L. Wenck

Kevin L. Wenck, President

POLYNOUS TRUST

By: /s/ Kevin L. Wenck

Kevin L. Wenck, President and Treasurer

 

 

 

 

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