-----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, DzSrwoaZtb7G6Otd0EPvyLqR6oWOoBtXoiSnsyyR18dUBoguQd0CUFTljnbJfTfu nrTZ0pRLISIvsmktJcqXKw== 0000105634-98-000009.txt : 19980903 0000105634-98-000009.hdr.sgml : 19980903 ACCESSION NUMBER: 0000105634-98-000009 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980902 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMTECH CORP CENTRAL INDEX KEY: 0000855612 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 752216818 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-40533 FILM NUMBER: 98703174 BUSINESS ADDRESS: STREET 1: 19111 DALLAS PARKWAY STREET 2: SUITE 300 CITY: DALLAS STATE: TX ZIP: 75287-3106 BUSINESS PHONE: 9727336600 MAIL ADDRESS: STREET 1: 19111 DALLAS PARKWAY STREET 2: SUITE 300 CITY: DALLAS STATE: TX ZIP: 75287-3106 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALBERT FRIED & CO LLC CENTRAL INDEX KEY: 0000039059 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 135089432 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 40 EXCHANGE PLACE CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2124227282 MAIL ADDRESS: STREET 1: 40 EXCHANGE PLACE CITY: NEW YORK STATE: NY ZIP: 10005 SC 13D 1 SCHEDULE 13D FILED FOR AMTECH CORPORATION ------------------------------------------- OMB APPROVAL ------------------------------------------- OMB Number: Expires: Estimated average burden hours per form................... ------------------------------------------- UNITED STAES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.2)* AMTECH CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK $0.01 PAR VALUE - -------------------------------------------------------------------------------- (Title of Class of Securities) 032329104 - -------------------------------------------------------------------------------- (CUSIP Number) ALBERT FRIED & COMPANY, LLC 40 EXCHANGE PLACE NEW YORK, NY 10005 (212) 422-7280 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) AUGUST 25, 1998 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement of Schedule 13G to report the acquisition which is the subject of the 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 this statement [X]. (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 filed 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 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 ("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). (Continued on following page(s)) CUSIP No. 032329104 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ALBERT FRIED & COMPANY, LLC 13-5089432 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 701,381 BENEFICIALLY -------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH 0 REPORTING -------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 701,381 -------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 701,381 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.71% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* BD, LLC - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Schedule 13D This Amendment No. 2 relates to a Schedule 13D filed on February 14, 1996 (the "Schedule") by Albert Fried & Company, LLC a New York limited liability company (the "LLC"), with respect to shares held by it of the common stock, par value $0.01 per share (the "Common Stock") issued by Amtech Corporation (the "Company"). Item 3. Source and Amount of Funds or Other Consideration Item 3 is hereby amended and supplemented as follows: The cost (excluding commissions) of the Common Stock owned by the LLC as reported in Item 5(c) is $283,143.75. The proceeds (excluding commissions) of the Common Stock sold by the LLC as reported in Item 5(c) is $2,715,767.51 Item 5. Interest in Securities of the Issuer Items 5(a) and (e) are hereby supplemented by the addition of the following: (a) the aggregate percentage of shares of Common Stock reported owned by the LLC herein is based upon 14,902,609 shares outstanding, which is the total number of shares of Common Stock outstanding as of June 30, 1998 as reported in the Company's Quarterly Report on Form 10-Q for the Quarter ended June 30, 1998. As of August 25, 1998: (i) The LLC owns 701,381 shares of the Common Stock, constituting approximately 4.71% of the shares outstanding (c) Transactions in the Common Stock since the most recent filing on Schedule 13D for the LLC are described in Schedule A hereto. All such transactions were effected in the open market. (e) The LLC ceased to be a beneficial owner of more than five percent of the common stock of the Company on August 25, 1998. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. 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: September 2, 1998 ALBERT FRIED & COMPANY, LLC /s/ Albert Fried, Jr. ----------------------------------- Signature Albert Fried, Jr., Managing Member ----------------------------------- Name/Title SCHEDULE A Transactions in the Common Stock of Amtec Corporation during the past 60 days. By: Albert Fried & Company, LLC - -------------------------------------------------------------------------------- Date of Number of Number of Price Transaction Shares Bought Shares Sold Per Share - --------------- ---------------- -------------- ---------- 06-26-98 4,000 4.6875 06-29-98 2,200 4.6875 06-29-98 3,200 4.6875 06-29-98 15,000 4.6875 06-29-98 1,000 4.6250 06-29-98 100 4.6250 06-30-98 8,000 4.7500 07-01-98 1,000 4.6875 07-02-98 500 4.6875 07-06-98 220 4.6875 07-06-98 6,000 4.6875 07-06-98 6,000 4.6875 07-06-98 6,500 4.6875 07-06-98 1,000 4.6875 07-06-98 5,000 4.6875 07-07-98 600 4.6250 07-08-98 7,000 5.2500 07-09-98 11,200 5.2500 07-10-98 6,000 5.2500 07-10-98 6,000 5.1875 07-10-98 12,000 5.3750 07-10-98 7,000 5.4375 07-10-98 8,000 5.3125 07-10-98 8,000 5.6250 07-10-98 18,900 5.5000 07-10-98 8,800 5.7500 07-10-98 11,500 5.8750 07-10-98 2,000 6.0000 07-10-98 100 5.6250 07-13-98 11,500 6.3750 07-13-98 8,000 6.2500 07-13-98 3,000 6.1250 07-13-98 17,500 6.4375 07-13-98 6,600 6.0000 07-13-98 25,000 6.6250 07-13-98 14,000 6.5000 07-13-98 2,000 6.2500 07-13-98 1,000 6.4375 07-14-98 4,800 6.7500 07-14-98 1,500 6.2500 07-14-98 1,000 6.3750 07-14-98 2,500 6.5000 07-15-98 9,300 6.5000 07-15-98 9,000 6.6250 07-15-98 500 6.7500 07-16-98 3,000 6.6250 07-16-98 2,000 6.6875 07-17-98 9,000 6.6875 07-20-98 3,000 6.6250 07-24-98 3,900 6.5000 07-27-98 2,000 6.4375 07-27-98 2,000 6.4375 07-27-98 800 6.4375 07-28-98 1,000 6.5000 07-28-98 3,200 6.5625 07-28-98 2,500 6.5000 08-18-98 1,900 6.3750 08-21-98 4,700 6.3750 08-21-98 3,200 6.3750 08-21-98 5,000 6.4375 08-21-98 5,000 6.5000 08-24-98 22,590 6.6875 08-24-98 13,500 6.5625 08-24-98 20,500 6.6250 08-24-98 1,000 6.6250 08-24-98 1,000 6.6875 08-24-98 3,000 6.6875 08-25-98 54,900 6.6875 08-25-98 1,500 6.7500 08-25-98 13,600 6.8750 08-25-98 22,300 6.96875 (120496DTI) -----END PRIVACY-ENHANCED MESSAGE-----