-----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, VvYV5r9+EVUYMyuy8aLR7/M/OwMPO6iMzwGcUdSjuwcezwWVi31U76X7DVfnxVKM sMJeNJQp7ejnsZAgcXibsA== 0000950123-05-007503.txt : 20050617 0000950123-05-007503.hdr.sgml : 20050617 20050617165342 ACCESSION NUMBER: 0000950123-05-007503 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050617 DATE AS OF CHANGE: 20050617 GROUP MEMBERS: ALAN P. GOLDBERG GROUP MEMBERS: GEORGE C. MCNAMEE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MECHANICAL TECHNOLOGY INC CENTRAL INDEX KEY: 0000064463 STANDARD INDUSTRIAL CLASSIFICATION: MEASURING & CONTROLLING DEVICES, NEC [3829] IRS NUMBER: 141462255 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-03199 FILM NUMBER: 05903683 BUSINESS ADDRESS: STREET 1: 431 NEW KARNER ROAD STREET 2: BUILDING #4 CITY: ALBANY STATE: NY ZIP: 12205 BUSINESS PHONE: 5185332200 MAIL ADDRESS: STREET 1: 431 NEW KARNER ROAD STREET 2: BUILDING #4 CITY: ALBANY STATE: NY ZIP: 12205 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST ALBANY COMPANIES INC CENTRAL INDEX KEY: 0000782842 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 222655804 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 677 BROADWAY CITY: ALBANY STATE: NY ZIP: 12207-2990 BUSINESS PHONE: 518-447-8673 MAIL ADDRESS: STREET 1: 677 BROADWAY CITY: ALBANY STATE: NY ZIP: 12207-2990 SC 13D/A 1 y10075sc13dza.txt AMENDMENT NO.5 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 --------------- SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) Mechanical Technology Incorporated (Name of Issuer) $1.00 Par Value Common Stock (Title of Class of Securities) 583538103 (CUSIP Number) Gordon J. Fox First Albany Companies Inc. 677 Broadway Albany, New York 12207 (518) 447-8500 with a copy to Howard Kelberg, Esq. Milbank, Tweed, Hadley & McCloy LLP One Chase Manhattan Plaza New York, NY 10005 (212) 530-5000 ------------------------------------------------------ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 15, 2005 ------------------------------------------------------ (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 Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [ ]. SCHEDULE 13D CUSIP NO.: 583538103 (1) NAME OF REPORTING PERSON: S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: First Albany Companies Inc. (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |_| (3) SEC USE ONLY (4) SOURCE OF FUNDS: WC, OO (5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| (6) CITIZENSHIP OR PLACE OF ORGANIZATION: First Albany Companies Inc. is organized under the laws of the State of New York NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: (7) SOLE VOTING POWER: 2,231,040 (8) SHARED VOTING POWER: 0 (9) SOLE DISPOSITIVE POWER: 2,231,040 (10) SHARED DISPOSITIVE POWER: 0 (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 2,231,040 shares of common stock (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_| (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 7.3% (14) TYPE OF REPORTING PERSON: CO This Amendment No. 5 amends the Amendment No. 4 to the Schedule 13D filed on May 31, 2005, the Amendment No. 3 to the Schedule 13D filed on January 3, 2003, the Amendment No. 2 to the Schedule 13D filed on December 26, 2002 and the Amendment No. 1 to the Schedule 13D filed on July 10, 2002. SCHEDULE 13D Item 5 Interest in Securities of the Issuer. Item 5(a) is amended as follows: FAC is the direct beneficial owner of 2,231,040 Shares, which represent approximately 7.3% of the outstanding shares of common stock of MTI, based on 30,676,626 shares outstanding on May 4, 2005, according to MTI's Form 10-Q filed on May 10, 2005. Item 5(c) is amended as follows: (c) The trading dates, number of Shares purchased and sold and price per share for all transactions in the Shares by FAC since the Amendment No. 4 to the Schedule 13D was filed on May 31, 2005 are set forth in Annex A and were all effected in broker transactions. SIGNATURE After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this Amendment No. 5 to the Schedule 13D is true, complete and correct. DATED: June 17, 2005 FIRST ALBANY COMPANIES INC. By: /s/ Steven R. Jenkins ------------------------------ Name: Steven R. Jenkins Title: Chief Financial Officer ANNEX A
DATE OF TRANSACTION NUMBER OF SHARES PRICE OF SHARES ($) PURCHASED/(SOLD) - ------------------- ---------------- ------------------- 6/1/05 (25,000) 3.61 6/2/05 (10,000) 3.67 6/3/05 (25,000) 3.60 6/6/05 (45,000) 3.61 6/7/05 (20,000) 3.52 6/13/05 (10,000) 3.30 6/14/05 (85,000) 3.35 6/15/05 (120,000) 3.63
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