-----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, HmtbJ6xU+pqvBmws2z37tzALUi5vFj132o2QqsP8pGfX1fwWXEuTv2BRQ2qmnqQu FKzte968oNcN6rrbRhTfEg== 0000891092-03-001268.txt : 20030609 0000891092-03-001268.hdr.sgml : 20030609 20030609112603 ACCESSION NUMBER: 0000891092-03-001268 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030609 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN BANK NOTE HOLOGRAPHICS INC CENTRAL INDEX KEY: 0001052489 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 133317668 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-54447 FILM NUMBER: 03736872 BUSINESS ADDRESS: STREET 1: 399 EXECUTIVE BOULEVARD CITY: ELMSFORD STATE: NY ZIP: 10523 BUSINESS PHONE: 9145922355 MAIL ADDRESS: STREET 1: 399 EXECUTIVE BOULEVARD CITY: ELMSFORD STATE: NY ZIP: 10523 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PESSIN NORMAN H CENTRAL INDEX KEY: 0000923666 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: C/O NEUBERGER & BERMAN LLC STREET 2: 605 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10158 BUSINESS PHONE: 2124765654 MAIL ADDRESS: STREET 1: C/O NEUBERGER & BERMAN LLC STREET 2: 605 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10158 SC 13D 1 e14993sc13_d.txt SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No......... )* American Bank Note Holographics, Inc. --------------------------------------------------------------------------- (Name of Issuer) Common Stock --------------------------------------------------------------------------- (Title of Class of Securities) 024490104 ----------------------------------------- (CUSIP Number) SEP IRA for Norman H. Pessin, 605 Third Ave., 19th Floor, New York, NY 10158 Sandra F. Pessin, 455 East 57th Street, New York, NY 10022 (tel: 212-476-5654) --------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) 5/23/03 ----------------------------------------------------- (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 the Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box / /. Check the following box if a fee is being paid with the statement / /. (A fee is not required only if the reporting person: (has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.)(See Rule 13d-7). - -------------------------------------------------------------------------------- Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13-d(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 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). ================================================================================ Page 2 of 5 Pages - -------------------------------------------------------------------------------- 1) Names of Reporting Persons, S.S or I.R.S. Identification Nos of Above Persons: a) SEP IRA F/B/O Norman H. Pessin b) Sandra F. Pessin - -------------------------------------------------------------------------------- 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) N/A (b) N/A - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Source of Funds (See Instructions) a) PF b) PF - -------------------------------------------------------------------------------- 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) of 2(e) - -------------------------------------------------------------------------------- 6) Citizenship or Place of Organization: a) USA b) USA -------------------------------------------------------------- Number of 7) Sole Voting Power: a) 662,000 Shares b) 281,100 Beneficially -------------------------------------------------------------- owned by each 8) Shared Voting Power: _________ Reporting Person with -------------------------------------------------------------- 9) Sole Dispositive Power: a) 662,000 b) 281,100 -------------------------------------------------------------- 10) Shared Dispositive Power: _________ - -------------------------------------------------------------------------------- 11) Aggregate Amount Beneficially Owned by Each Reporting Person: a) 662,000 b) 281,100 - -------------------------------------------------------------------------------- 12) Check if the Aggregate Amount in Row (11) Excludes certain shares: N/A - -------------------------------------------------------------------------------- 13) Percent of Class Represented by Amount in Row (11): a) 3.58% b) 1.52% - -------------------------------------------------------------------------------- 14) Type of Reporting Person (See Instructions): a) IN b) IN - -------------------------------------------------------------------------------- ================================================================================ Page 3 of 5 Pages ITEM 1: IDENTITY AND BACKROUND (a) Norman H. Pessin (b) Norman H. Pessin, 605 Third Ave., 19th Floor, New York, NY 10158 (c) Retired (d) None (e) None (f) USA (a) Sandra F. Pessin (b) Sandra F. Pessin, 455 East 57th Street, New York, NY 100022 (c) Housewife (d) None (e) None (f) USA ITEM 3: SOURCE AND AMOUNT OF FUNDS (a) A total of 662,000 shares were purchased with $529,600 of funds in the SEP IRA Account F/B/O Norman H. Pessin. (b) A total of 281,100 shares were purchased with $222,623 of funds by Sandra F. Pessin. ITEM 4: PURPOSE OF TRANSACTION The shares were purchased for investment. The filers reserve the right to seek changes in the management of the issuer in the future or in its business. No such plans currently exist. ITEM 5: INTEREST IN SECURITIES OF THE ISSUER (a) The SEP IRA Account beneficially owns 662,000 or 3.58% of the outstanding shares of Common Stock of the issuer. (a) Sandra F. Pessin beneficially owns 281,100 or 1.52% of the outstanding Common Stock of the issuer. (b) The SEP IRA Account has sole power of disposition over the 662,000 shares and sole power to vote the 662,000 shares. (b) Sandra F. Pessin has sole power of disposition of the 281,100 shares and sole power to vote the 281,100 shares. (c) The SEP IRA Account F/B/O Norman H. Pessin purchased an aggregate of 662,000 shares during the period 1/02/00 and 1/06/03 for aggregate cost of $822,202. ================================================================================ Page 4 of 5 Pages (c) Sandra F. Pessin purchased an aggregate of 281,100 shares during the period 1/08/03 to 5/21/03 for an aggregate cost of $222,623. (d) Not Applicable (e) Not Applicable ITEM 6: CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO THE SECURITIES OF THE ISSUER. N/A ITEM 7. MATERIAL TO BE FILED AS EXHIBITS N/A After reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. SEP IRA ACCOUNT F/B/O NORMAN H. PESSIN By: /s/ Norman H. Pessin -------------------- Norman H. Pessin /s/ Sandra F. Pessin ---------------- Sandra F. Pessin June 5, 2003 ================================================================================ Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----