-----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, BhuNS87iA1TlgIdtouH+Z61vdSdFfW5oGyIM9ZP3yR2yl1+1gTEFYqVwZv2Usdim hBnPFUDWKa7bimdjiAKdKQ== 0000902335-97-000006.txt : 19970223 0000902335-97-000006.hdr.sgml : 19970223 ACCESSION NUMBER: 0000902335-97-000006 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19970214 DATE AS OF CHANGE: 19970221 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOLOGIC INC CENTRAL INDEX KEY: 0000859737 STANDARD INDUSTRIAL CLASSIFICATION: 3844 IRS NUMBER: 042902449 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41074 FILM NUMBER: 97537429 BUSINESS ADDRESS: STREET 1: 590 LINCOLN ST CITY: WALTHAM STATE: MA ZIP: 02154 BUSINESS PHONE: 6178902300 MAIL ADDRESS: STREET 1: 590 LINCOLN STREET CITY: WALTHAM STATE: MA ZIP: 02154 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STEIN JAY A CENTRAL INDEX KEY: 0000902336 STANDARD INDUSTRIAL CLASSIFICATION: 0000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 590 LINCOLN STREET STREET 2: HOLOGIC INC CITY: WALTHAM STATE: MA ZIP: 02154 BUSINESS PHONE: 6178902300 MAIL ADDRESS: STREET 1: 590 LINCOLN STREET CITY: WALTHAM STATE: MA ZIP: 02154 SC 13G/A 1 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB number: 3235-0145 Washington, D.C. 20549 Expires: August 31, 1991 Estimated average burden hours per response 14.90 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) Hologic, Inc. -------------- (Name of Issuer) Common Stock ----------------------- (Title of Class of Securities) 436440-10-1 ----------- (CUSIP Number) Check the following box if a fee is being paid with this statement ____. 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 i; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent of 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). Page 1 of 5 CUSIP No. 436440-10-1 Page __2___of__5___Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Jay A. Stein - - -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) - - -------------------------------------------------------------------- 3 SEC USE ONLY - - -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - - -------------------------------------------------------------------- 5 SOLE VOTING POWER: 379,850 NUMBER OF SHARES ------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER: None OWNED BY EACH ------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER: 379,850 PERSON WITH ------------------------------------------- 8 SHARED DISPOSITIVE POWER: None - - -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 379,850 - - -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* X - - ----------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.95% - - ------------------------------------------------------------------------ 12 TYPE OF REPORTING*: In - - ------------------------------------------------------------------------ SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 5 Item 1 (a) Name of Issuer: Hologic, Inc. Item 1 (b) Address of Issuer's Principal Executive Offices: 590 Lincoln Street, Waltham, Massachusetts 02154 Item 2 (a) Name of Person Filing: Jay A. Stein Item 2 (b) Address of Principal Business Office or, if none, Residence: 590 Lincoln Street, Waltham, Massachusetts 02154 Item 2 (c) Citizenship: United States Item 2 (d) Title of Class of Securities: Common Stock, $.01 par value Item 2 (e) CUSIP Number: 436440-10-1 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: Not Applicable Item 4 Ownership: (a) Amount Beneficially Owned: 379,850 shares of Common Stock. Includes (i) 58,000 shares of Common Stock which are exercisable within 60 days of February 14, 1997; (ii) 27,230 shares held in Trust, of which Dr. Stein is the sole trustee with the sole power to vote and to dispose of the shares. Dr. Stein disclaims beneficial ownership of the shares held by the Trust and those held in Custody. Excludes 7,230 shares held in Trust for the benefit of Dr. Stein's children, over which Dr. Stein has no power to vote or to dispose and for which Dr. Stein disclaims beneficial ownership. Page 3 of 5 (b) Percent of Class: 2.95% (c) Number of shares as to which such person has: (i) sole power to vote or direct the vote: 379,850 (ii) shared power to vote or to direct the vote: None (iii) sole power to dispose or to direct the disposition: 379,850 (iv) shared power to dispose or to direct the disposition: None Item 5 Ownership of Five Percent or Less of a Class: If this 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, check the following _X_. Item 6 Ownership of More than Five Percent on Behalf of Another Person: Not Applicable 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 Certification: Not Applicable Page 4 of 5 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. February 14, 1997 - - ------------------- Date /s/ Jay A. Stein - - ------------------ Signature Jay A. Stein / S.V.P. and Technical Director - - ------------------------------------------- Name/Title Page 5 of 5 EX-1 2 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB number: 3235-0145 Washington, D.C. 20549 Expires: August 31, 1991 Estimated average burden hours per response 14.90 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ____) Hologic, Inc. ------------- (Name of Issuer) Common Stock ----------------------- (Title of Class of Securities) 436440-10-1 ------------ (CUSIP Number) Check the following box if a fee is being paid with this statement X. 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 i; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent of 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). Page 1 of 6 CUSIP No. 436440-10-1 Page __2___of__5___Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Jay A. Stein - - --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) - - --------------------------------------------------------------------- 3 SEC USE ONLY - - -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - - -------------------------------------------------------------------- 5 SOLE VOTING POWER: 275,020 NUMBER OF SHARES ------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER: None OWNED BY EACH ------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER: 275,020 PERSON WITH ------------------------------------- 8 SHARED DISPOSITIVE POWER: None - - -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 275,020 - - -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* X - - --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.2% - - ---------------------------------------------------------------------- 12 TYPE OF REPORTING*: In - - ---------------------------------------------------------------------- SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 6 Item 1 (a) Name of Issuer: Hologic, Inc. Item 1 (b) Address of Issuer's Principal Executive Offices: 590 Lincoln Street, Waltham, Massachusetts 02154 Item 2 (a) Name of Person Filing: Jay A. Stein Item 2 (b) Address of Principal Business Office or, if none, Residence: 590 Lincoln Street, Waltham, Massachusetts 02154 Item 2 (c) Citizenship: United States Item 2 (d) Title of Class of Securities: Common Stock, $.01 par value Item 2 (e) CUSIP Number: 436440-10-1 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: Not Applicable Item 4 Ownership: (a) Amount Beneficially Owned: 275,020 shares of Common Stock. Includes 4,750 shares held in a Trust, of which Dr. Stein is the sole trustee with the sole power to vote and to dispose of the shares, for which Dr. Stein disclaims beneficial ownership. Excludes the following shares for which Dr. Stein disclaims beneficial ownership: (i) 7,150 shares held in a Trust for the benefit of Dr. Stein's children, over which Dr. Stein has no power to vote or to dispose and (ii) 40 shares held by certain of Dr. Stein children. Page 3 of 6 (b) Percent of Class: 7.2% (c) Number of shares as to which such person has: (i) sole power to vote or direct the vote: 275,020 (ii) shared power to vote or to direct the vote: None (iii) sole power to dispose or to direct the disposition: 275,020 (iv) shared power to dispose or to direct the disposition: None Item 5 Ownership of Five Percent or Less of a Class: Not Applicable. Item 6 Ownership of More than Five Percent on Behalf of Another Person: Not Applicable 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 Certification: Not Applicable Page 4 of 6 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. February 7, 1991 - - ------------------- Date /s/ Jay A. Stein - - ------------------- Signature Jay A. Stein - - -------------------- Name Page 5 of 6 EXHIBIT AGREEMENT PURSUANT TO RULE 13d-1 (f) (l) (iii) Pursuant to Rule 13d-1 (f) (l) (iii), the undersigned does hereby agree that the Schedule 13G to which this Agreement is attached as an exhibit shall be deemed filed on behalf of the undersigned. DATED: February 7, 1991 /s/ Jay A. Stein ------------------ Jay A. Stein Page 6 of 6 -----END PRIVACY-ENHANCED MESSAGE-----