-----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, U6jg+Tr3T5oZo0DfmKcKJMGPl6HywTL39rHJxTBXCnEqaxXt0q0SG1FuKYJ1C2iE zY0/zZYR9f+EG5dvQi11OA== 0000039059-02-000005.txt : 20020414 0000039059-02-000005.hdr.sgml : 20020414 ACCESSION NUMBER: 0000039059-02-000005 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AXSYS TECHNOLOGIES INC CENTRAL INDEX KEY: 0000206030 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 111962029 STATE OF INCORPORATION: DE FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-06258 FILM NUMBER: 02546777 BUSINESS ADDRESS: STREET 1: 175 CAPITAL BLVD SUITE 103 CITY: ROCKY HILL STATE: CT ZIP: 06067 BUSINESS PHONE: 2018711500 MAIL ADDRESS: STREET 1: 175 CAPITAL BLVD SUITE 103 CITY: ROCKY HILL STATE: CT ZIP: 06067 FORMER COMPANY: FORMER CONFORMED NAME: VERNITRON CORP DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALBERT FRIED & CO LLC CENTRAL INDEX KEY: 0000039059 IRS NUMBER: 135089432 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 40 EXCHANGE PLACE CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2124227282 MAIL ADDRESS: STREET 1: 40 EXCHANGE PLACE CITY: NEW YORK STATE: NY ZIP: 10005 FORMER COMPANY: FORMER CONFORMED NAME: FRIED ALBERT & CO LLC //NY DATE OF NAME CHANGE: 19960830 FORMER COMPANY: FORMER CONFORMED NAME: FRIED ALBERT & CO LLC DATE OF NAME CHANGE: 19960507 FORMER COMPANY: FORMER CONFORMED NAME: FRIED ALBERT & CO /BD DATE OF NAME CHANGE: 19951222 SC 13G/A 1 axsys13g3.txt SECURITIES AND EXCHANGE Washington, D.C. 20549 SCHEDULE 13G/A (12/31/2001) Under the Securities Exchange Act of 1934 AXSYS TECHNOLOGIES, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 54615109 (CUSIP Number) Check the appropriate box to designate the Rule pursuant to which this Schedule is Filed: (x) Rule 13d - 1 (b) ( ) Rule 13d - 1 (c) ( ) Rule 13d - 1 (d) CUSIP Number: 54615109 1) NAME OF REPORTING PERSON ALBERT FRIED & COMPANY, LLC 13-5089432 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) | | (b) | X | 3) SEC USE ONLY 4) CITIZEN OR PLACE OF ORGANIZATION NEW YORK 5) SOLE VOTING POWER 122,047 6) SHARED VOTING POWER None 7) SOLE DISPOSITIVE POWER 122,047 8) SHARED DISPOSITIVE POWER 0 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH Reporting Person 122,047 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 2.60% 12) TYPE OF REPORTING PERSON BD CUSIP Number: 54615109 1) NAME OF REPORTING PERSON Albert Fried Jr. 056265544 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / / (b) /X/ '3) SEC USE ONLY 4) CITIZEN OR PLACE OF ORGANIZATION UNITED STATES 5) SOLE VOTING POWER 223,371 6) SHARED VOTING POWER 345,418 7) SOLE DISPOSITIVE OOWER 223,371 8) SHARED DISPOSITIVE POWER 345,418 9) AGGREEGRATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 345,418 10) N/A 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 7.36% 12) TYPE OF REPORTING PERSON IN Albert Fried Jr., as the managing member of Albert Fried & Company, LLC, may be deemed to beneficially own the shares reported herein by Albert Fried & Company, LLC. Accordingly, the shares reported herein by Albert Fried Jr. includes those shares separately reported herein by Albert Fried & Company, LLC. ITEM 1(a) NAME OF ISSUER: Axsys Technologies, Inc. ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL OFFICES: 910 Sylvan Avenue; Suite 180 Englewood Cliffs, NJ 07632 ITEM 2(a) NAMES OF PERSON FILING: (1) Albert Fried & Company, LLC a New York (2) Liability Company. The members of Albert (3) Fried & Company, LLC are Albert Fried Jr., John P. Vazzana, Christina E. Fried and Anthony Katsingris. (2) Albert Fried Jr. ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 40 Exchange Place, New York, NY 10005 ITEM 2(c) CITIZENSHIP: (1) Albert Fried & Company, LLC IS ORGANIZED UNDER THE LAWS OF THE state of New York. Each of the individuals referred to in item 2(a) is a United States Citizen. (2) Albert Fried Jr. is a citizen of the United States. ITEM 2(d) TITLE OF CLASS OF SECURITIES: COMMON STOCK ITEM 2(e) CUSIP NUMBER: 54615109 ITEM 3 STATEMENT IS FILIED PURSUANT TO RULE 13d-1 (b): (A) BROKER OR DEALER REGISTERED UNDER SECTION 15 OF THE ACT. ITEM 4 OWNERSHIP: (1) ALBERT FRIED & COMPANY, LLC. 4(a) AMOUNT BENEFICIALLY OWNED: 345,418 SHARES OF COMMON STOCK. 4(b) PERCENT OF CLASS: 7.36% 4 (c ) NUMBER OF SHARES AS WHICH SUCH PERSON HAS: (i) SOLE POWER TO VOTE OR TO DIRECT THE VOTE: 345,418 (ii) SHARES POWER TO VOTE OR DIRECT THE VOTE: NONE (iii) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: 345,418 (iv) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: NONE (2) ALBERT FRIED, JR. 4(a) AMOUNT BENEFICIALLY OWNED: 122,047 SHARES OF COMMON STOCK. 4(b) PERCENT OF CLASS: 7.36% 4(c) NUMBER OF SHARES AS WHICH SUCH PERSON HAS: (v) SOLE POWER TO VOTE OR TO DIRECT THE VOTE: 223,371 (vi) SHARES POWER TO VOTE OR DIRECT THE VOTE: 122,047 (vii) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: 223,371 DIRECT THE DISPOSITION OF: 122,047 ITEM 5 OWNERSHIP OF LESS THAN 5% OF A CLASS: NOT APPLICABLE ITEM 6 OWNERSHIP OF MORE THAN 5% 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 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 acquired in the ordinary course of Business and were not acquired for the purpose Of and do not have the effect of changing or Influencing the control of the issuer of such Securities and were not acquired in connection With or as a participant in any transaction Having such purpose or effect. 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. DATE: February 13, 2002 ALBERT FRIED & COMPANY, LLC. By /s/ Albert Fried, Jr. ------------------------------- Name: Albert Fried, Jr. Title: Managing Member /s/ Albert Fried, Jr. ------------------------------- Albert Fried, Jr. -----END PRIVACY-ENHANCED MESSAGE-----