-----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, LwqYHF4Uvf1kRyadKWKzeB0H1b+LTgeMcdJOKeuhCAqbrKO349vdNJ85si2Isrjc VwfyFafO3a2DiwMhgoGBAQ== 0001175735-02-000004.txt : 20020708 0001175735-02-000004.hdr.sgml : 20020708 20020708135814 ACCESSION NUMBER: 0001175735-02-000004 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020708 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALBERT FRIED & CO LLC CENTRAL INDEX KEY: 0001175735 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: 2124227299 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: 02697736 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 SC 13G/A 1 axys3.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (06/30/2002) Under the Securities Exchange Act of 1934 (Amendment No. 1) AXSYS TECHNOLOGIES, Inc. - ----------------------------------------------------------------- (Name of Issuer) COMMON STOCK - ----------------------------------------------------------------- (Title of Class of Securities) 054615109 - ----------------------------------------------------------------- (CUSIP Number) CUSIP Number: 054615109 Check the appropriate box to designate the Rule pursuant To which this schedule if Filed: (X) Rule 13d - 1 (b) (x ) Rule 13d - 1 (c) ( ) Rule 13d - 1 (d) 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 252,670 6) SHARED VOTING POWER None 7) SOLE DISPOSITIVE POWER 252,670 8) SHARED DISPOSITIVE POWER 0 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 252,670 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 5.38% 12) TYPE OF REPORTING PERSON BD, OO 1) NAME OF REPORTING PERSON ALBERT FRIED Jr. 056265544 2) CHECK THE APPPROPRIATE 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 476,041 7) SOLE DIPOSITIVE POWER 223,371 8) SHARED DEPOSITIVE POWER 476,041 9) AGGREGRATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 476,041 10) N/A 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 10.13% * 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 EXECUTIVE OFFICES: 175 Capital Boulevard, Suite 103 Rocky Hill, Connecticut 06067 ITEM 2(a) NAME OF PERSON FILING: Albert Fried & Company, LLC. The members of Albert Fried & Company, LLC are Albert Fried Jr., The Fried Group, LLC and Christina E. Fried. ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 40 Exchange Place, New York, NY 10005 ITEM 2(c) CITIZENSHIP: 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) above is a citizen of the United States. ITEM 2(d) TITLE OF CLASS OF SECURITIES: COMMON STOCK ITEM 2(e) CUSIP NUMBER: 054615109 ITEM 3 STATEMENT IS FILED 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 ITEM 4(a) AMOUNT BENEFICIALLY OWNED: 476,041 SHARES OF COMMON STOCK 4(b) PERCENT OF CLASS: 10.13% 4(c) NUMBER OF SHARES AS WHICH SUCH PERSON HAS: (i) SOLE POWER TO VOTE OR TO DIRECT THE VOTE - 476,041 (ii) SHARES POWER TO VOTE OR TO DIRECT THE VOTE - NONE (iii) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF- 476,041 (iv) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF - NONE (2) ALBERT FRIED, JR. 4(a) AMOUNT BENEFICIALLY OWNED: 223,371 4(b) PERCENT OF CLASS: 10.13% 4(C) NUMBER OF SHARES AS WHICH SUCH PERSON HAS: (V) SOLE POWER TO VOTE OR TO DIRECT THE VOTE 476,041 (VI) SHARES POWER TO VOTE OR DIRECT THE VOTE: 476,041 (VII) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: 223,371 DIRECT THE DISPOSITION OF: 476,041 ITEM 5 OWNERSHIP OF LESS THAN FIVE PERCENT OF A CLASS: NOT APPLICABLE 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 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: JULY 2, 2002 ALBERT FRIED & COMPANY, LLC. By /s/ Albert Fried, Jr. ---------------------- Name: Albert Fried, Jr Title: Managing Member -----END PRIVACY-ENHANCED MESSAGE-----