-----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, Wv9UTc97agntfKt9xne72tBNCCnucUOQT+u12SuaD1pGZ6mN4AK58YqXEnMTm4jI nC7fVr8yjEjcy1lrHiyUiQ== 0000905383-97-000016.txt : 19971229 0000905383-97-000016.hdr.sgml : 19971229 ACCESSION NUMBER: 0000905383-97-000016 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971224 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ANDERSEN GROUP INC CENTRAL INDEX KEY: 0000006383 STANDARD INDUSTRIAL CLASSIFICATION: DENTAL EQUIPMENT & SUPPLIES [3843] IRS NUMBER: 060659863 STATE OF INCORPORATION: CT FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-19685 FILM NUMBER: 97744434 BUSINESS ADDRESS: STREET 1: 1280 BLUE HILLS AVE CITY: BLOOMFIELD STATE: CT ZIP: 06002-1374 BUSINESS PHONE: 2032420761 MAIL ADDRESS: STREET 1: NEY INDUSTRIAL PARK CITY: BLOOMFIELD STATE: CT ZIP: 06002 FORMER COMPANY: FORMER CONFORMED NAME: ANDERSEN LABORATORIES INC DATE OF NAME CHANGE: 19790828 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NEWBY STEVEN T CENTRAL INDEX KEY: 0000905383 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 6116 EXECUTIVE BLVD STREET 2: STE 701 CITY: ROCKVILLE STATE: MD ZIP: 20852 BUSINESS PHONE: 3018813660 MAIL ADDRESS: STREET 1: 6116 EXECUTIVE BLVD STREET 2: STE 701 CITY: ROCKVILLE STATE: MD ZIP: 20852 SC 13D/A 1 UNITED STATES SECURITIES AND EXHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities and Exchange Act of 1934 (Amendment No. 4)* Andersen Group, Inc. (Name of Issuer) Common Stock, par value $0.00 (Title of Class of Securities) 033501107 (CUSIP Number) Francis E. Baker, President, 2 Douglas Street, Bloomfield CT 06002 (860)242-0761 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 1, 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 [ ]. Check the following box if a fee is being paid with the statement [ ]. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) 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 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 and 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. 033501107 SCHEDULE 13D 1. NAME OF THE REPORTING PERSON S.S. OF I.R.S. IDENTIFICATION NO. OF ABOVE PERSON STEVEN T. NEWBY 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] 3. SEC USE ONLY 4. SOURCE OF FUNDS*PF 5. CHECK BOX 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 7. SOLE VOTING POWER SHARES 123,417 shares BENEFICIALLY 8. SHARED VOTING POWER OWNED BY -0- shares EACH 9. SOLE DISPOSITIVE POWER REPORTING 123,417 shares PERSON 10. SHARED DISPOSITIVE POWER WITH -0- shares 11. AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH REPORTING PERSON 123,417 shares 12. CHECK THE BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*[ ] 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.30% 14. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! The purpose of this filing is to serve as Amendment No. 4 to the Schedule 13D filed by Steven T. Newby with respect to his beneficial ownership of the common stock, $0.00 par value per share (the "Common Stock"), of Andersen Group, Inc. (the "Issuer") on November 28, 1995, as amended by Amendment No. 1 thereto filed on December 28, 1995, as amended by Amendment No. 2 thereto filed on July 18,1996, and as amended by Amendment No. 3 thereto filed November 6, 1996. ITEM 1. Security and Issuer Andersen Group, Inc. Common Stock, Par Value $0.00 per share 2 Douglas Street Bloomfield, CT 06002 ITEM 2. Identity and Background A) Steven T. Newby B) 6116 Executive Boulevard, Suite 701 Rockville, MD 20852 C) Broker/Dealer Newby & Company same address as above D) None E) None F) USA ITEM 3. Source and Amount of funds or Other Consideration Source of all funds - personal. No funds borrowed ITEM 4. Purpose of Transaction For investment purposes only. No further information in reference to Items 4A-4J. ITEM 5. Interest in Securities of the Issuer A) Steven T. Newby owns 123,417 shares or 6.30% of Andersen Group, Inc. 1,958,478 shares outstanding (2/28/97). B) Steven T. Newby has sole voting and sole disposition powers. C) All sales in the last sixty days have been open market transactions. 07/23/97 Sold 13,000 shares @ 6.00 $ 78,000.00 08/15/97 Sold 10,000 shares @ 6.75 $ 67,500.00 09/10/97 Sold 10,000 shares @ 7.00 $ 70,000.00 09/25/97 Sold 25,000 shares @ 9.25 $231,250.00 10/01/97 Sold 10,000 shares @ 8.75 $ 87,500.00 D) Not applicable. E) Not applicable. ITEM 6. Contracts, Arrangements, Understandings or Relationships with respect to Securities of the Issuer. None ITEM 7. Material to be Filed as Exhibits None 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: October 1, 1997 /S/ STEVEN T. NEWBY STEVEN T. NEWBY -----END PRIVACY-ENHANCED MESSAGE-----