-----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, SdKVQfdOGfsHv95POvcErAd8El+h9cNH4Ce1PwxCLPy9fx7u0D2NTYIrg1waVFiN XztjphXLILT7wyXP8ytsKw== 0000950135-97-000615.txt : 19970222 0000950135-97-000615.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950135-97-000615 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPIRE CORP CENTRAL INDEX KEY: 0000731657 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 042457335 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-36679 FILM NUMBER: 97532319 BUSINESS ADDRESS: STREET 1: ONE PATRIOTS PARK CITY: BEDFORD STATE: MA ZIP: 01730-2396 BUSINESS PHONE: 6172756000 MAIL ADDRESS: STREET 2: ONE PATRIOTS PARK CITY: BEDFORD STATE: MA ZIP: 01730-2396 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LITTLE ROGER G CENTRAL INDEX KEY: 0000903937 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O SPIRE CORP STREET 2: ONE PATRIOTS PARK CITY: BEDFORD STATE: MA ZIP: 01730-2396 BUSINESS PHONE: 6172756000 MAIL ADDRESS: STREET 1: C/O SPIRE CORP STREET 2: ONE PATRIOTS PARK CITY: BEDFORD STATE: MA ZIP: 01730 SC 13G 1 ROGER G. LITTLE STATEMENT ON SC 13G 1 Page 1 of 6 Pages UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Information statement pursuant to Rule 13d-1 and 13d-2 (Amendment No. ___)* Spire Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, 0.01 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 848565 10 7 ------------------------- (CUSIP Number) 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.) (Continued on following page(s)) - --------------------- * 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 Exchange Act of 1934 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). 2 - ----------------------- ------------------- CUSIP NO. 848565 10 7 13G PAGE 2 OF 6 PAGES - ----------------------- ------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Roger G. Little ###-##-#### - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 1,454,000 SHARES ----------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY EACH 0 REPORTING ----------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER WITH 1,454,000 ----------------------------------------------- 8. SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,454,000 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES PERSON [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 48.3% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! 3 Page 3 of 6 Pages ITEM 1. (a) Name of Issuer: -------------- Spire Corporation (b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- One Patriots Park Bedford, Massachusetts 01730-2396 ITEM 2. (a) Name of Person Filing: --------------------- Roger G. Little (b) Address of Principal Business Office, or, if None, Residence: ------------------------------------------------------------ One Patriots Park Bedford, Massachusetts 01730-2396 (c) Citizenship: ----------- United States (d) Title of Class of Securities: ---------------------------- Common Stock, $0.01 par value per share (e) CUSIP Number: ------------ 848565 10 7 ITEM 3. If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Act, (b) [ ] Bank as defined in Section 3(a)(6) of the Act, (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act, (d) [ ] Investment Company registered under Section 8 of the Investment Company Act, 4 Page 4 of 6 Pages (e) [ ] Investment Advisor registered under Section 203 of the Investment Advisors Act of 1940, (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13-d-1(b)(1)(ii)(F), (g) [ ] Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G) see Item 7, (h) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H). ITEM 4. OWNERSHIP: (a) Amount Beneficially Owned: ------------------------- See Item 9 of Cover Page (b) Percent of Class ---------------- See Item 11 of Cover Page (c) Number of shares as to which such person has: -------------------------------------------- (i) Sole power to vote or to direct the vote See Item 5 of Cover Page (ii) Shared power to vote or to direct the vote See Item 6 of Cover Page (iii) Sole power to dispose or to direct the disposition of See Item 7 of Cover Page (iv) Shared power to dispose or to direct the deposition of See Item 8 of Cover/Page ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: [ ] 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. 5 Page 5 of 6 Pages ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not applicable to reporting person. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Not applicable to reporting person. ITEM 9. NOTICE OF DISSOLUTION OF THE GROUP: Not applicable to reporting person. ITEM 10. CERTIFICATION: Not applicable to reporting person. By signing below I/we 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. 6 Page 6 of 6 Pages 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. Date: 13 February 1997 ----------------------------------- By: /s/ Roger G. Little ----------------------------------- Roger G. Little President & CEO -----END PRIVACY-ENHANCED MESSAGE-----