-----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, LSs/IySsY9zsOgCYioolW4ey+PUDg//L1JI2uReQ/v5QiIUqr1WRxK00EfDwLYc8 VIjGodvelwUXtPpm0WzNQQ== 0000930661-97-002696.txt : 19971118 0000930661-97-002696.hdr.sgml : 19971118 ACCESSION NUMBER: 0000930661-97-002696 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 19971117 SROS: NONE GROUP MEMBERS: ALFRED VAN DEVANTER GROUP MEMBERS: BIGAR GEORGE C J GROUP MEMBERS: DARIA M. KOLMAN GROUP MEMBERS: ELLIOTT E. AND LAURA S. DUDNIK GROUP MEMBERS: ELSIE F. STRAUSS GROUP MEMBERS: ELSIE RYSER GROUP MEMBERS: FRANK JOSEPH ROWAN GROUP MEMBERS: JAMES J. ROWAN GROUP MEMBERS: JEFFREY A. KOLT GROUP MEMBERS: JOEL C. BARLOW GROUP MEMBERS: JOHN B. GOVE GROUP MEMBERS: JOHN H. SMITH GROUP MEMBERS: JOSEPH WEINBERG GROUP MEMBERS: KAY E. ANDERSON GROUP MEMBERS: L. RICHARD FRIED, JR. GROUP MEMBERS: LAWRENCE LAKE GROUP MEMBERS: LEWIS BENNETT MINDLIN GROUP MEMBERS: LYNNETTE SEQUEIRA GROUP MEMBERS: MICHAEL F. CAVOTTA GROUP MEMBERS: OTTO A. AND DORIS J. BONOMO GROUP MEMBERS: PAUL R. OLSEN GROUP MEMBERS: REV. EDMUND S. NADOLNY GROUP MEMBERS: RICHARD A. KWAK GROUP MEMBERS: RICHARD D. CORLEY GROUP MEMBERS: RICHARD D. HORNIDGE, JR. GROUP MEMBERS: ROBERT E. DUKE GROUP MEMBERS: ROBERT G. RALSTON GROUP MEMBERS: ROBERT J. AND DORIS J. BUSHELLE GROUP MEMBERS: SAMUEL MICHAEL FODALE GROUP MEMBERS: SHELDON STRAUSS GROUP MEMBERS: SHERRY WIEDER GROUP MEMBERS: SUSAN RYSER BENNETT GROUP MEMBERS: TIMOTHY RYSER BENNETT GROUP MEMBERS: WARREN JAY BECKER GROUP MEMBERS: WILLIAM DAVID ELLIOTT GROUP MEMBERS: WILLIAM EZRA KAY GROUP MEMBERS: WILLIAM F. O'KEEFE GROUP MEMBERS: YOGESH KRISHNA GARG AND SHILA GARG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COMPETITIVE TECHNOLOGIES INC CENTRAL INDEX KEY: 0000102198 STANDARD INDUSTRIAL CLASSIFICATION: PATENT OWNERS & LESSORS [6794] IRS NUMBER: 362664428 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-08250 FILM NUMBER: 97722928 BUSINESS ADDRESS: STREET 1: 1960 BRONSON ROAD STREET 2: P.O. BOX 340 CITY: FAIRFIELD STATE: CT ZIP: 06430 BUSINESS PHONE: 2032256044 MAIL ADDRESS: STREET 1: 1960 BRONSON ROAD STREET 2: P.O. BOX 340 CITY: FAIRFIELD STATE: CT ZIP: 06430 FORMER COMPANY: FORMER CONFORMED NAME: UNIVERSITY PATENTS INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BIGAR GEORGE C J CENTRAL INDEX KEY: 0001049634 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 3906 BUENA VISTA LB 20 CITY: DALLAS STATE: TX ZIP: 75204 BUSINESS PHONE: 2145267399 MAIL ADDRESS: STREET 1: 3906 BUENA VISTA LB 20 CITY: DALLAS STATE: TX ZIP: 75204 SC 13D 1 SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION, WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. __) COMPETITIVE TECHNOLOGIES, INC. ------------------------------ (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 204512107 --------- (CUSIP Number) John S. Daniels, Esq. 8117 Preston Road, Suite 800 Dallas, Texas 75225 (214) 696-3200 -------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 4, 1997 ---------------- (Date of Event Which Requires Filing of This Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d- 1(b)(3) or (4), check the following box. [ ] NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. * 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 disclosures provided in a prior cover page. The information required on 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). CUSIP No. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons George C. J. Bigar, Executor of the Estate of Lilla Burt Cummings Tower (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States and Switzerland Number of shares beneficially owned by each reporting person with: (7) Sole voting power 37,300 (8) Shared voting power 0 (9) Sole dispositive power 37,300 (10) Shared dispositive power 0 (11) Aggregate amount beneficially owned by each reporting person 37,300 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.6% (14) Type of reporting person IN 2 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Kay E. Anderson, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 59,200 (8) Shared voting power -0- (9) Sole dispositive power 59,200 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 59,200 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 1% (14) Type of reporting person IN 3 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Joel C. Barlow, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 74,830 (8) Shared voting power -0- (9) Sole dispositive power 74,830 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 74,830 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 1.3% (14) Type of reporting person IN 4 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Warren Jay Becker, Individually and as Trustee of Forty Centre Realty Trust (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/AF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 47,210 (8) Shared voting power -0- (9) Sole dispositive power 47,210 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 47,210 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.8% (14) Type of reporting person IN 5 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Susan Ryser Bennett, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only 0 (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 43,000 (8) Shared voting power -0- (9) Sole dispositive power 43,000 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 43,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.7% (14) Type of reporting person IN 6 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Timothy Ryser Bennett and Christopher E. Bennett (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power -0- (8) Shared voting power 3,700 (9) Sole dispositive power -0- (10) Shared dispositive power 3,700 (11) Aggregate amount beneficially owned by each reporting person 3,700 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) less than 0.1% (14) Type of reporting person IN 7 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Otto A. and Doris J. Bonomo (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 83 (Otto A. Bonomo) 83 (Doris J. Bonomo) (8) Shared voting power 11,000 (9) Sole dispositive power 83 (Otto A. Bonomo) 83 (Doris J. Bonomo) (10) Shared dispositive power 11,000 (11) Aggregate amount beneficially owned by each reporting person 11,166 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.2% (14) Type of reporting person IN 8 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Robert J. and Doris J. Bushelle, ###-##-#### and ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 7,200 (Robert J. Bushelle) (8) Shared voting power 10,700 (9) Sole dispositive power 7,200 (Robert J. Bushelle) (10) Shared dispositive power 10,700 (11) Aggregate amount beneficially owned by each reporting person 17,900 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.3% (14) Type of reporting person IN 9 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Michael F. Cavotta (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 16,000 (8) Shared voting power -0-- (9) Sole dispositive power 16,000 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 16,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.3% (14) Type of reporting person IN 10 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Richard D. Corley, D.D.S., M.D., ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 197,800 (8) Shared voting power -0- (9) Sole dispositive power 197,800 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 197,800 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 3.3% (14) Type of reporting person IN 11 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Elliott E. and Laura S. Dudnik (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power -0- (8) Shared voting power 10,000 (9) Sole dispositive power -0- (10) Shared dispositive power 10,000 (11) Aggregate amount beneficially owned by each reporting person 10,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.2% (14) Type of reporting person IN 12 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Robert E. Duke, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 25,000 (8) Shared voting power -0- (9) Sole dispositive power 25,000 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 25,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.4% (14) Type of reporting person IN 13 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons William David Elliott, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 2,000 (8) Shared voting power -0- (9) Sole dispositive power 2,000 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 2,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) less than 0.1% (14) Type of reporting person IN 14 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Samuel Michael Fodale ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/AF/OO (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 148,100 (8) Shared voting power -0- (9) Sole dispositive power 148,100 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 148,100 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 2.5% (14) Type of reporting person IN 15 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Yogesh Krishna Garg and Shila Garg (includes Dyna-Plas Ind. Inc., a corporation of which they are the sole officers and directors) (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 11,000 (Yogesh Krishna Garg) 500 (Shila Garg) (8) Shared voting power 12,000 (9) Sole dispositive power 11,000 (Yogesh Krishna Garg) 500 (Shila Garg) (10) Shared dispositive power 12,000 (11) Aggregate amount beneficially owned by each reporting person 23,500 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] -0- (13) Percent of class represented by amount in Row (11) 0.4% (14) Type of reporting person IN 16 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons John B. Gove, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 20,000 (8) Shared voting power -0- (9) Sole dispositive power 20,000 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 20,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.3% (14) Type of reporting person IN 18 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons L. Richard Fried, Jr., ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 30,500 (8) Shared voting power -0- (9) Sole dispositive power 30,500 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 30,500 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.5% (14) Type of reporting person IN 19 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Richard D. Hornidge, Jr., ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 14,000 (8) Shared voting power -0- (9) Sole dispositive power 14,000 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 14,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.2% (14) Type of reporting person IN 20 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons William Ezra Kay, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 111,000 (8) Shared voting power -0- (9) Sole dispositive power 111,000 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 111,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 1.9% (14) Type of reporting person IN 21 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Daria M. Kolman, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 8,000 (8) Shared voting power -0- (9) Sole dispositive power 8,000 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 8,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.1% (14) Type of reporting person IN 22 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Jeffrey A. Kolt (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 13,900 (8) Shared voting power -0- (9) Sole dispositive power 13,900 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 13,900 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.2% (14) Type of reporting person IN 23 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Richard A. Kwak (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 20,956 (8) Shared voting power -0- (9) Sole dispositive power 20,956 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 20,956 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.4% (14) Type of reporting person IN 24 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Lawrence Lake (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 14,250 (8) Shared voting power -0- (9) Sole dispositive power 14,250 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 14,250 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.2% (14) Type of reporting person IN 25 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Lewis Bennett Mindlin, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 900 (8) Shared voting power -0- (9) Sole dispositive power 900 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 900 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) less than 0.1% (14) Type of reporting person IN 27 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Rev. Edmund S. Nadolny (Rev. Edmund S. Nadolny Good News Fund) (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 33,000 (8) Shared voting power -0- (9) Sole dispositive power 33,000 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 33,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.6% (14) Type of reporting person IN 28 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons William F. O'Keefe (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 12,149 (8) Shared voting power -0- (9) Sole dispositive power 12,149 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 12,149 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.2% (14) Type of reporting person IN 29 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Paul R. Olsen (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 9,989 (8) Shared voting power -0- (9) Sole dispositive power 9,989 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 9,989 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.2% (14) Type of reporting person IN 30 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Robert G. Ralston, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 14,988 (8) Shared voting power -0- (9) Sole dispositive power 14,988 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 14,988 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.3% (14) Type of reporting person IN 31 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Frank Joseph Rowan, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 1,000 (8) Shared voting power -0- (9) Sole dispositive power 1,000 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 1,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) less than 0.1% (14) Type of reporting person IN 32 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons James J. Rowan, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 1,000 (8) Shared voting power -0- (9) Sole dispositive power 1,000 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 1,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) less than 0.1% (14) Type of reporting person IN 33 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Elsie Ryser (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 2,500 (8) Shared voting power -0- (9) Sole dispositive power 2,500 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 2,500 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) less than 0.1% (14) Type of reporting person IN 34 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Lynnette Sequeira (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/OO (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 24,000 (8) Shared voting power -0- (9) Sole dispositive power 24,000 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 24,000 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.4% (14) Type of reporting person IN 35 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons John H. Smith (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 70,420 (8) Shared voting power -0- (9) Sole dispositive power 70,420 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 70,420 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 1.2% (14) Type of reporting person IN 36 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Elsie F. Strauss, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 4,900 (8) Shared voting power -0- (9) Sole dispositive power 4,900 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 4,900 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) less than 0.1% (14) Type of reporting person IN 38 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Sheldon Strauss, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 28,729 (8) Shared voting power -0- (9) Sole dispositive power 28,729 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 28,729 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.5% (14) Type of reporting person IN 39 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Alfred Van DeVanter, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 113,470 (8) Shared voting power -0- (9) Sole dispositive power 113,470 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 113,470 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 1.9% (14) Type of reporting person IN 40 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Joseph Weinberg, ###-##-#### (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF/00 (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 16,400 (8) Shared voting power -0- (9) Sole dispositive power 16,400 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 16,400 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.3% (14) Type of reporting person IN 41 CUSIP NO. 204512107 (1) Names of reporting persons S.S. or I.R.S. Identification Nos. of above persons Sherry Wieder, Trustee for Edward D. Strauss (2) Check the appropriate box if a member of a group (a) [X] (b) [ ] (3) SEC use only (4) Source of funds PF (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) [ ] (6) Citizenship or place of organization United States Number of shares beneficially owned by each reporting person with: (7) Sole voting power 12,720 (8) Shared voting power -0- (9) Sole dispositive power 12,720 (10) Shared dispositive power -0- (11) Aggregate amount beneficially owned by each reporting person 12,720 (12) Check if the aggregate amount in Row (11) excludes certain shares [ ] (13) Percent of class represented by amount in Row (11) 0.2% (14) Type of reporting person IN 42 Item 1. Security and Issuer This statement relates to the common stock of Competitive Technologies, Inc. (the "Company"). The address of the principal executive office of the Company is 1960 Bronson Road, Fairfield, Connecticut 06430. Item 2. Identity and Background This statement is filed by 43 individual shareholders of the Company, one of whom (Mr. George C. J. Bigar) is also a director of the Company. The shareholders, their residence or business addresses and their occupations are set forth on Exhibit 1 hereto, which is incorporated herein by reference. All of the reporting shareholders are citizens of the United States; Mr. Bigar is a dual citizen of the United States and Switzerland. During the last five years, none of the reporting shareholders has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). During the last five years, none of the reporting shareholders has been a party to a civil proceeding of a judicial or administrative body resulting in a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Item 3. Source and Amount of Funds or Other Consideration The acquisition of stock by the group of shareholders filing this report did not involve purchases. The shares beneficially owned by members of the group are deemed to be acquired for reporting purposes by the group when the members thereof agreed to act together as discussed in Item 4. Individual members of the group have owned shares of the Company's common stock over varying lengths of time. Most have been shareholders for 3 to 15 years. The stock reflected on the cover pages hereof was purchased primarily with personal funds of the reporting shareholders, in certain cases subject to borrowings in the form of standard margin agreements with registered broker- dealers and/or funds provided by affiliates of reporting shareholders. Item 4. Purpose of Transaction The purpose of this filing is to report the formation of a group of shareholders, most of whom have held stock in the Company for 3 to 15 years, to seek to reconstitute the board of directors of the Company at the Annual Meeting now scheduled for December 19, 1997. This course of action has been necessitated by the failure of the Company and the present board of directors to observe established principles of corporate governance, to operate the Company in the best long-term interest of shareholders and to maximize the Company's value and standing in the investment community. Instead, the Company operates unaware of or indifferent to the responsibilities of its directors (most of whom have never made meaningful investments in the 43 Company) to expend the effort necessary to achieve what the shareholders deserve: an efficient, effective and aggressive organization capable of maximizing the value of the Company. George C. J. Bigar ("Bigar") became a shareholder in the Company in 1994 and, at the invitation of George M. Stadler, the chief executive officer ("Stadler"), he was nominated and elected as a director at the 1996 Annual Meeting. Bigar gradually became aware that within the Company's shareholder base was a significant number of holders who (i) had held stock in the Company for several years or longer and continued to take a very positive long-term view of the Company and the stock, (ii) shared Bigar's views about the potential of the Company stock to produce substantial long-term value, and (iii) were frustrated, and growing more so, at the inattention of management and the board of directors to requests for information, particularly plausible explanations of the slow pace at which the Company was able to exploit technologies in which it holds interests. In particular, Bigar heard repeatedly from the shareholders joining in this filing and many others that management and the board did not respond to shareholder calls, letters or other communications and showed lack of interest and even arrogance concerning legitimate expressions of shareholders' interest in the Company's business. Since becoming a director, Bigar has devoted substantial time and attention to the Company's situation and has learned a great deal about both the problems and opportunities which the Company faces. He has been an active director, frequently making suggestions to improve the Company's performance in operating, financial, personnel and related matters, but he has found a level of complacency among fellow board members and executive officers inconsistent with the demands of the Company's business. This has manifested itself in indifference to the needs of shareholders and the investment community generally for reliable, prompt communication of information about the Company and the unwillingness to undertake, or even explore in good faith, potential means of bringing the Company's strengths and the value of its assets to the attention of the investment community. In short, the board and senior management, having little or no invested stake in the Company, do not think or act like shareholders, and they have made plain to Bigar by their actions and admonitions that they do not appreciate his doing so. Bigar recognizes that it is the shareholders (particularly the large group who have held stock in the Company through a long period of miserable performance), if they do not give up on the Company's future, who are the group of people most loyal and interested in the Company's long-term prosperity. In the last year, Bigar concluded and openly discussed with the board and management that the interests of equity holders were being ignored, to the detriment of the Company. He gradually realized that his colleagues did not consider the interests and concerns of the equity holders to be of substantial importance. In mid-October, Bigar suggested to Stadler that the membership of the board be reconstituted, by replacing current directors with highly qualified individuals whose professional standing, abilities and achievements would enhance the status of the Company. This suggestion was summarily rejected. The shareholders joining in this filing believe that the Company has the opportunity to increase its earnings and market valuation if it (i) promptly re- focuses its energies under the guidance of a responsive board of directors; (ii) cuts costs significantly and eliminates current compensation plans (for directors and executive officers alike) which are not aligned with the 44 interests of shareholders; and (iii) aggressively seeks methods of utilizing its undervalued assets, some of which have been completely neglected, to add value to the Company. Bigar sought expressions of support from a small number of shareholders and encountered a groundswell of interest in identifying a superior alternative to the slate of directors proposed by the current board for the December 19, 1997 Annual Meeting. The group of shareholders joining in this filing exists solely for the purpose of advocating the replacement of a majority of the board of directors; it is anticipated that the group will cease to exist following the elections at the Annual Meeting. Those signing this statement are united in believing that - A Corporate Board has no responsibility higher than that of adding value, or causing value to be added, to a company - Compensation must be aligned with shareholders' long-term interests - No more than one Executive Officer need be seated on a corporate board - Executive Officers should never be allowed to serve on either the Compensation Committee or Nominating Committee - A company's Chief Executive must be held accountable at all times and in all endeavors - The board must be run in such a way as to direct, not only oversee, the Company's Executive Officers, its mission statement and the timely, efficient implementation of that mission statement. Performance targets must be in place and when or if these are not met,analysis of the failure(s) should lead to a reassessment. Without a mission statement and performance targets, it is unreasonable to embark on any realistic appraisal of the suitability, competency (or lack thereof) or value of Executive and Operating Officers. The Company filed with the SEC a preliminary proxy statement for the Annual Meeting which should be carefully reviewed by interested shareholders. Until the shareholders involved in this filing have filed a preliminary proxy statement with the SEC (which they intend to do very shortly), they are not permitted to solicit proxies. Such shareholders hope that other interested shareholders will carefully consider the matters discussed above in order to determine an appropriate course of action. The equity holders who have joined in this filing intend to conduct a proxy contest in 45 which the facts speak for themselves; they do not intend to initiate or resort to escalation of the disagreement with management, and they call upon management to refrain from actions in their self-interest but not in the best interests of the Company, such as attempting to frustrate the will of a majority of the Company's equity holders. The interests of the Company would not be served by a prolonged or expensive battle in which the Company's funds are spent to attack its own shareholders in an attempt to insulate the board of directors from basic accountability to those who own the Company. Individual reporting shareholders may in the future purchase or sell shares of common stock, depending on their individual circumstances and changing market conditions. On November 14, 1997 Bigar sent a written request, pursuant to Rule 14a-7 under the Exchange Act, that the Company promptly provide either a list of shareholders or an estimate of the costs of mailing a proxy statement in which proxies are to be solicited in support of a slate of nominees for director in opposition to the slate nominated by management. A copy of that letter is attached as Exhibit 2. Pursuant to Rule 14a-7, the Company is required to deliver a response to Bigar's written request within 5 business days after its receipt of the request. Item 5. Interest in Securities of Issuer (a) As of October 31, 1997 the reporting shareholders are the beneficial owners of 1,297,118 shares, representing approximately 21.9% of the outstanding shares of the Company, based upon the number of shares reported to be outstanding in the Company's most recent Form 10-K. (b) Except as otherwise indicated on the individual cover pages hereof, each of the reporting shareholders has the sole power to vote and to dispose of the shares attributed to such shareholder. (c) The following table sets forth all transactions with respect to common stock of the Company effected during the past sixty days by each of the reporting shareholders. Each transaction set forth below reflects an open market purchase or sale on the American Stock Exchange:
NAME OF DATE OF TRANSACTION TYPE OF # OF SHARES PRICE STOCKHOLDER TRANSACTION Wieder September 2, 1997 Purchase 400 10 3/8 Hornidge September 4, 1997 Sale 1,000 10 S. Strauss September 9, 1997 Sale 400 8 5/8 S. Strauss September 10, 1997 Sale 1,000 9 S. Strauss September 12, 1997 Sale 400 9 7/16 S. Strauss September 16, 1997 Sale 900 9 1/4 S. Strauss September 16, 1997 Sale 500 9 5/8 S. Strauss September 22, 1997 Sale 400 8 3/4 S. Strauss September 24, 1997 Sale 700 9 1/2
46 Wieder September 23, 1997 Sale 500 9 1/2 Kolt September 24, 1997 Gifts 100 NA S. Strauss September 26, 1997 Purchase 1,000 9 3/8 S. Strauss October 7, 1997 Sale 1,000 9 1/4 Anderson October 28, 1997 Purchase 500 8 1/2 Gove October 28, 1997 Purchase 100 8 1/2 Garg October 29, 1997 Purchase 3,000 9 S. Strauss October 30, 1997 Purchase 300 9 Gove October 30, 1997 Purchase 100 8 1/2 Sequeira October 30, 1997 Purchase 1,000 9 S. Strauss October 31, 1997 Sale 1,000 8 1/4 Kolman October 31, 1997 Purchase 4,000 8 5/8-9 Strauss October 31, 1997 Purchase 300 9 Becker November 2, 1997 Purchase 2,000 8 3/4
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. By executing this Schedule 13D, each reporting shareholder agrees to this joint filing in accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, on behalf of each of them of this Schedule 13D (including any amendments thereto). Except for the agreement to file jointly and the mutual intentions of the reporting shareholders discussed in Item 4 hereof, there are no contracts, arrangements, understandings, or relationships relating to the securities of the Company. Each of the reporting shareholders specifically disclaims any beneficial interest in the shares of common stock of the Company reported by the other reporting shareholders. Item 7. Material to be Filed as Exhibits. Exhibit 1: Information about reporting shareholders. Exhibit 2: Letter dated November 17, 1997 from George C. J. Bigar to the Company. SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement regarding the undersigned is true, complete and correct. Dated: November 14, 1997 /s/ George C. J. Bigar, Executor -------------------------------------- George C. J. Bigar, Executor /s/ Kay E. Anderson -------------------------------------- Kay E. Anderson 47 /s/ Joel C. Barlow -------------------------------------- Joel C. Barlow /s/ Warren Jay Becker -------------------------------------- Warren Jay Becker /s/ Susan Ryser Bennett -------------------------------------- Susan Ryser Bennett /s/ Timothy Ryser Bennett -------------------------------------- Timothy Ryser Bennett /s/ Christopher E. Bennett -------------------------------------- Christopher E. Bennett /s/ Otto A. Bonomo -------------------------------------- Otto A. Bonomo /s/ Doris J. Bonomo -------------------------------------- Doris J. Bonomo /s/ Doris J. Bushelle -------------------------------------- Doris J. Bushelle /s/ Robert J. Bushelle -------------------------------------- Robert J. Bushelle /s/ Michael F. Cavotta -------------------------------------- Michael F. Cavotta /s/ Richard D. Corley -------------------------------------- Richard D. Corley /s/ Elliott E. Dudnik -------------------------------------- Elliott E. Dudnik /s/ Laura S. Dudnik -------------------------------------- Laura S. Dudnik /s/ Robert E. Duke -------------------------------------- Robert E. Duke /s/ William David Elliott -------------------------------------- William David Elliott /s/ Samuel Michael Fodale -------------------------------------- Samuel Michael Fodale 48 /s/ L. Richard Fried, Jr. -------------------------------------- L. Richard Fried, Jr. /s/ Yogesh Krishna Garg -------------------------------------- Yogesh Krishna Garg /s/ Shila Garg -------------------------------------- Shila Garg /s/ John B. Gove -------------------------------------- John B. Gove /s/ Richard D. Hornidge, Jr. -------------------------------------- Richard D. Hornidge, Jr. /s/ William Ezra Kay -------------------------------------- William Ezra Kay /s/ Daria M. Kolman -------------------------------------- Daria M. Kolman /s/ Jeffrey A. Kolt -------------------------------------- Jeffrey A. Kolt /s/ Richard A. Kwak -------------------------------------- Richard A. Kwak /s/ Lawrence Lake -------------------------------------- Lawrence Lake 49 /s/ Lewis Bennett Mindlin -------------------------------------- Lewis Bennett Mindlin /s/ Rev. Edmund S. Nadolny -------------------------------------- Rev. Edmund S. Nadolny (Rev. Edmund S. Nadolny Good News Fund) /s/ William F. O'Keefe -------------------------------------- William F. O'Keefe /s/ Paul R. Olsen -------------------------------------- Paul R. Olsen /s/ Robert G. Ralston -------------------------------------- Robert G. Ralston /s/ Frank Joseph Rowan -------------------------------------- Frank Joseph Rowan /s/ James J. Rowan -------------------------------------- James J. Rowan /s/ Elsie Ryser -------------------------------------- Elsie Ryser /s/ Lynnette Sequeira -------------------------------------- Lynnette Sequeira /s/ John H. Smith -------------------------------------- John H. Smith 50 /s/ Elsie F. Strauss -------------------------------------- Elsie F. Strauss /s/ Sheldon Strauss -------------------------------------- Sheldon Strauss /s/ Alfred Van DeVanter -------------------------------------- Alfred Van DeVanter /s/ Joseph Weinberg -------------------------------------- Joseph Weinberg /s/ Sherry Weider -------------------------------------- Sherry Wieder, Trustee for Edward D. Strauss 51 EX-1 2 INFORMATION ABOUT REPORTING SHAREHOLDERS EXHIBIT 1
Name Residence or Business Present Name and Address of Employer Principal Business Address Occupation of Employer George C. J. Bigar, 3906 Buena Vista #20 Investor Executor Dallas, TX Kay E. Anderson 683 W. 925 S. Investor Orem, UT Joel C. Barlow 1235 Cedar Ave. Retired Provo, UT Warren J. Becker 40 Centre Street Physician Same as column 2 Physician Brook Line, MA Susan Ryser Bennett 14280 W. 9/th/ St. Investor Zion, IL Timothy and P.O. Box 812 Investors Christopher Bennett Lake Forest, IL Otto A. and Doris J. 61 Cobblestone Drive General Manager Nandorf, Inc. Retail Bonomo Crete, IL 4301 Midlothian Turnpike Crestwood, IL Robert J. Bushelle 49 Braeburn Lane None Barrington, IL Michael F. Cavotta 7855 Division Dr. Executive PCI Mentor, OH Same as column 2 Richard D. Corley 1101 Main Street Surgeon Same as column 2 Physician Peoria, IL
Elliott E. and Laura S. 913 Wesley Ave. Professor & Same as column 2 Education Dudnik Evanston, IL Architect Public Library Librarian Robert E. Duke 111 South Wilshire Business Owner Fire Control, Inc. Sprinkler Systems Arlington Heights, IL 255 Alderman Wheeling, IL William David Elliott 1601 Elm Street Attorney Same as column 2 Law Practice Suite 3700 Dallas, TX Samuel Michael Fodale 5820 E. Nevada Executive Central Maintenance Maintenance Detroit, MI Services, Inc. services Same as column 2 Yogesh Krishna Garg and P.O. Box 100 Executive DynaPlas, Inc. Plastics Shila Garg Holmesville, OH Same as column 2 John B. Gove 101 Pleasant Street Executive Commonwealth Retirement Sale and service Suite 109 Services of corporate pension Worcester, MA Same as column 2 plans L. Richard Fried, Jr. 841 Bishop Street Attorney Same as column 2 Law practice Honolulu, HI Richard D. Hornidge, 9 Barrington Dr. None Jr. Andover, MA
William Ezra Kay #8 Pepper Creek Dr. Physician Westside Industrial Clinic Physician Pepper Pike, OH 2012 West 25/th/ St. Cleveland, OH Daria M. Kolman 5011 Corkwood Dr. Reading Cleveland Board of Education Education Specialist Jeffrey A. Kolt 33840 Aurora Road Attorney Same as column 2 Law practice Solon, OH Richard A. Kwak 3543 Avenida Amorosa Investor Same as column 2 Escondido, CA Lawrence Lake 3220 Fox Hollow Manufacturers Same as column 2 Manufacturers Drive Representative Representative Pepper Pike, OH Lewis Bennett Mindlin 614 Superior Ave. W. Attorney Same as column 2 Law practice 15/th/ Floor Cleveland, OH Rev. Edmund S. 82 Akron Street Priest Same as column 2 Church Nadolny Meriden, CT Good News Fund
William F. O'Keefe 426 Hazard Ave. Priest, Mngmnt Same as column 2 Church Enfield, CT Consultant, Ntl Director of Catholic Digest School Plan Paul R. Olsen P.O. Box 685 Dentist 325 West Center St. Dentistry Salem, UT Spanish Fork, UT Robert G. Ralston 62 Whitehead Road Executive Benefit Same as column 2 Executive Benefit Cohasset, MA Planning Services Planning Services Frank Joseph Rowan 20222 Gulf Blvd. Stockbroker Smith Barney, Inc. Broker-Dealer Indian Shores, FL 311 Park Place #100 Clearwater, FL James J. Rowan 3839 4/th/ Street North Attorney Same as column 2 Law practice Suite 390 St. Petersburg, FL Elsie Ryser None Lynnette Sequeira 6960 Norvale Circle None West Gates Mills, OH John H. Smith 6 Willett Pond Drive Business Owner AM-PM Cleaning Company Cleaning Westwood, MA Westwood, MA
Elsie F. Strauss 6566 Gates Mills Blvd. None Mayfield Heights, OH Sheldon Strauss 26300 Euclid Ave. Executive Medical Care Group Medical Care Suite 102 Euclid, OH Euclid, OH Alfred Van DeVanter 1050 E. 700 N. Retired American Fork, UT Joseph Weinberg 30 Galesi Drive Stockbroker Josephthal Lyon & Ross, Inc. Broker-Dealer Wayne, NJ Same as column 2 Sherry Wieder, 6566 Gates Mills Blvd. Trustee Mayfield Heights, OH
EX-2 3 LETTER FROM GEORGE C. J. BIGAR TO THE COMPANY EXHIBIT 2 [LETTER OF GEORGE C. J. BIGAR APPEARS HERE] November 17, 1997 Mr. George M. Stadler Chief Executive Officer Competitive Technologies, Inc. Building 1 1960 Bronson Road Post Office Box 340 Fairfield, Connecticut 06430 VIA FACSIMILE & FEDERAL EXPRESS (Airbill #4629699852) - ----------------------------------------------------- Dear Mick: As you know, and as evidenced by filings of Competitive Technologies, Inc. (the "Company") with the Securities and Exchange Commission, I am the beneficial owner of 37,300 shares of common stock of the Company. Pursuant to rule 14a-7 under the Securities Exchange Act of 1934, I hereby request that the Company comply with that rule by (1) providing a list of holders of the Company's voting stock as of the record date for the annual meeting of stockholders now scheduled for December 19, 1997 or mail proxy materials to such holders on my behalf; and (2) deliver to my counsel, John S. Daniels, Esquire, 8117 Preston Road, Suite 800, Dallas, Texas 75225, the information required to be delivered in accordance with Rule 14a-7(a)(1), within the time period contemplated by such rule. For the purposes of compliance with Rule 14a-7, I enclose, with this letter, a demand under oath for inspection of the Company's stock ledger and a list of shareholders. Thanking you in advance for your prompt assistance, I remain. Yours very truly, /s/ GEORGE C. J. BIGAR George C. J. Bigar Enclosure -----END PRIVACY-ENHANCED MESSAGE-----