-----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, IwlVhnMVfHl4OifzDEePW8TVKFJj0YrAHgRu2B8SH28yntZ/UdRnCbJ1ZLywvQx7 f4IzNlwWRMcsH+KLGX2f3A== 0001193125-07-027437.txt : 20070213 0001193125-07-027437.hdr.sgml : 20070213 20070212170726 ACCESSION NUMBER: 0001193125-07-027437 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070212 DATE AS OF CHANGE: 20070212 GROUP MEMBERS: ANTONY BRIAN POPE FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Pope Johanna CENTRAL INDEX KEY: 0001389083 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: 603-893-8778 MAIL ADDRESS: STREET 1: 32 HAMPSHIRE ROAD CITY: SALEM STATE: NH ZIP: 03079 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STOCKERYALE INC CENTRAL INDEX KEY: 0000094538 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 042114473 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-47779 FILM NUMBER: 07604091 BUSINESS ADDRESS: STREET 1: 32 HAMPSHIRE ROAD CITY: SALEM STATE: NH ZIP: 03079 BUSINESS PHONE: 6038938778 MAIL ADDRESS: STREET 1: 32 HAMPSHIRE ROAD CITY: SALEM STATE: NH ZIP: 03079 FORMER COMPANY: FORMER CONFORMED NAME: STOCKER & YALE INC DATE OF NAME CHANGE: 19950623 SC 13G 1 dsc13g.htm SCHEDULE 13-G Schedule 13-G

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

 

 

StockerYale, Inc.


(Name of Issuer)

Common Stock


(Title of Class of Securities)

 

 

86126 T104

                                (CUSIP Number)                                

December 31, 2006


(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 (the “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. 86126 T104    

 

  1.  

Names of Reporting Persons

I.R.S. Identification No. of above persons (entities only)

   
                Johanna Pope    
  2.   Check the Appropriate Box if a Member of a Group (See Instructions)  
  (a)  ¨  
    (b)  ¨    
  3.   SEC Use Only  
         
  4.   Citizenship or Place of Organization  
                United Kingdom    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5.    Sole Voting Power
 
                  0
    6.    Shared Voting Power
 
                  2,412,280
    7.    Sole Dispositive Power
 
                  0
    8.    Shared Dispositive Power
 
                  2,412,280
  9.   Aggregate Amount Beneficially Owned by Each Reporting Person    
                2,412,280    
10.   Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)   ¨
         
11.   Percent of Class Represented by Amount in Row (9)  
                7.3%    
12.   Type of Reporting Person (See Instructions)  
                IN    


CUSIP No. 86126 T104    

 

  1.  

Names of Reporting Persons

I.R.S. Identification No. of above persons (entities only)

   
                Antony Brian Pope    
  2.   Check the Appropriate Box if a Member of a Group (See Instructions)  
  (a)  ¨  
    (b)  ¨    
  3.   SEC Use Only  
         
  4.   Citizenship or Place of Organization  
                United Kingdom    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5.    Sole Voting Power
 
                  0
    6.    Shared Voting Power
 
                  2,412,280
    7.    Sole Dispositive Power
 
                  0
    8.    Shared Dispositive Power
 
                  2,412,280
  9.   Aggregate Amount Beneficially Owned by Each Reporting Person    
                2,412,280    
10.   Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)   ¨
         
11.   Percent of Class Represented by Amount in Row (9)  
                7.3%    
12.   Type of Reporting Person (See Instructions)  
                IN    


CUSIP No. 86126 T104         

This Schedule 13G is filed by the undersigned with respect to the shares of common stock, par value $0.001 per share (the “Common Stock”), of StockerYale, Inc.

  
Item 1.  

(a)

   Name of Issuer:      
     StockerYale, Inc.      
 

(b)

   Address of Issuer’s Principal Executive Offices:      
     32 Hampshire Road, Salem, New Hampshire 03079      
Item 2.  

(a)

   Name of Person Filing:      
     Johanna Pope      
     Antony Brian Pope      
 

(b)

   Address of Principal Business Office or, if none, Residence:      
     c/o StockerYale, Inc., 32 Hampshire Road, Salem, New Hampshire 03079      
 

(c)

   Citizenship:      
     Johanna Pope: United Kingdom      
     Antony Brian Pope: United Kingdom      
 

(d)

   Title of Class of Securities:      
     Common Stock      
 

(e)

   CUSIP Number:      
     86126 T104      
Item 3.   If the statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:   
  (a)    ¨    Broker or dealer registered under section 15 of the Exchange Act.
  (b)    ¨    Bank as defined in Section 3(a)(6) of the Exchange Act.
  (c)    ¨    Insurance company as defined in Section 3(a)(19) of the Exchange Act.
  (d)    ¨    Investment Company registered under Section 8 of the Investment Company Act.
  (e)    ¨    An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E).
  (f)    ¨    An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F).
  (g)    ¨    A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G).
  (h)    ¨    A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act.
  (i)    ¨    A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act.
  (j)    ¨    Group, in accordance with Rule 13d-1(b)(1)(ii)(J).


Item 4.    Ownership.      
   Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.      
   (a)   

Amount Beneficially Owned:

Johanna Pope directly owns 1,447,368 shares of Common Stock. Antony Brian Pope directly owns 964,912 shares of Common Stock. Johanna Pope and Antony Brian Pope may each be deemed to beneficially own the shares of Common Stock directly owned by each other.

 

     
   (b)   

Percent of class:

 

7.3%

     
   (c)    Number of shares as to which such person has:      
      (i)   

Sole power to vote or direct the vote:

 

0

     
      (ii)   

Shared power to vote or direct the vote:

 

2,412,280

     
      (iii)   

Sole power to dispose or to direct the disposition of:

 

0

     
      (iv)   

Shared power to dispose or to direct the disposition of:

 

2,412,280

     
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.

 

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.

 

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 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: February 12, 2007    

/s/ Johanna Pope

    Johanna Pope
   

/s/ Antony Brian Pope

    Antony Brian Pope
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