-----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, ThKXzKDJfDOiCnquSyYqSklg+/clysgydN9vE9IenLdSmwne6Rz3YQr+hduC6tHo vcu8qOwupPr2Je6sYlojAQ== 0000891554-99-000375.txt : 19990222 0000891554-99-000375.hdr.sgml : 19990222 ACCESSION NUMBER: 0000891554-99-000375 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990218 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BALDWIN TECHNOLOGY CO INC CENTRAL INDEX KEY: 0000805792 STANDARD INDUSTRIAL CLASSIFICATION: 3555 IRS NUMBER: 133258160 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-39053 FILM NUMBER: 99544791 BUSINESS ADDRESS: STREET 1: 40 RICHARDS AVENUE CITY: NORWALK STATE: CT ZIP: 06854 BUSINESS PHONE: 2038387470 MAIL ADDRESS: STREET 1: 40 RICHARDS AVENUE CITY: NORWALK STATE: CT ZIP: 06854 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SHUFRO ROSE EHRMAN CENTRAL INDEX KEY: 0000908195 STANDARD INDUSTRIAL CLASSIFICATION: IRS NUMBER: 133729829 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 745 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151-2600 BUSINESS PHONE: 2127545100 MAIL ADDRESS: STREET 1: 745 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151-2600 SC 13G 1 SCHEDULE 13G ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3535-3145 Expires: August 31, 1991 Estimated average burden hours per response ......14.90 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* BALDWIN TECHNOLOGIES - - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - - -------------------------------------------------------------------------------- (Title of Class of Securities) 058264102 - - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid |_|. (A fee is not required only if the filing 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). * 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 the disclosures provided in a prior cover page. The information required in 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 ("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). SEC 1745 (20-88) PAGE 1 0F 5 - - ------------------- ----------------- CUSIP No. 058264102 13G Page 2 of 5 Pages - - ------------------- ----------------- ________________________________________________________________________________ 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SHUFRO, ROSE & CO., LLC 13-5390713 ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION A LLC ORGANIZED UNDER THE LAWS OF THE STATE OF NEW YORK ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 63,200 _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY NONE _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 1,011,100 _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH NONE ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,011,100 ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.77% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! SEC 1746 (9-88) 2 OF 5 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2) Check the following box if a fee is being paid |_| with this statement: Item 1(a). Name of Issuer: Baldwin Technologies Item 1(b). Address of Issuer's Principal Executive Offices: 65 Rowayton Avenue Rowayton, CT 06853 Item 2(a). Name of Person Filing: SHUFRO, ROSE & CO., LLC Item 2(b). Address of Principal Business Office, or if None, Residence: 745 Fifth Avenue, New York, NY 10151 Item 2(c). Citizenship: Limited Liability Corporation formed under the laws of the State of New York. Item 2(d). Title of Class of Securities: Common Item 2(e). CUSIP Number: 058264102 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) [X] Broker or dealer registered under Section 15 of the Act. (e) [X] Investment adviser registered under section 203 of the Investment Advisers Act of 1940 (b), (c), (d), (f), (g): Not applicable Page 3 of 5 Item 4. Ownership. If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds 5 percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount beneficially owned: 1,011,100 (b) Percent of class: 6.77% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 63,200 (ii) Shared power to vote or to direct the vote None (iii) Sole power to dispose or to direct the disposition of 1,011,100 (iv) Shared power to dispose or to direct the disposition of None Item 5. Ownership of 5 Percent or Less of a Class. Not applicable. Item 6. Ownership of More than 5 Percent on Behalf of another person. Not applicable. Page 4 of 5 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. Certifications. 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 signing 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. Disclaimer The undersigned expressly declares that the filing of this Initial Schedule 13G shall not be construed as an admission that such person is, for the purpose of Section 13(d) or 13(g) of the Securities Act of 1934, the beneficial owner of any securities covered by this statement. 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. SHUFRO, ROSE & CO., LLC Date: February 13, 1999 /s/ Steven Glass ----------------------------------- Signature By: Steven Glass ------------------------------- (Managing Director) Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----