-----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, QlqR2aghHwUL+Vg2Sj+lnUD8VdlpGqZx+HC3yGUMWDtib2nIdQTdVO4ao18LsgAD xcFGL9Z0ZJnED8ZaDndxpg== 0000905383-99-000006.txt : 19991018 0000905383-99-000006.hdr.sgml : 19991018 ACCESSION NUMBER: 0000905383-99-000006 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991012 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SBE INC CENTRAL INDEX KEY: 0000087050 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 941517641 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-07570 FILM NUMBER: 99727108 BUSINESS ADDRESS: STREET 1: 4550 NORRIS CANYON ROAD CITY: SAN RAMON STATE: CA ZIP: 94583 BUSINESS PHONE: 5103552000 MAIL ADDRESS: STREET 1: 4550 NORRIS CANYON RD CITY: SAN RAMON STATE: CA ZIP: 94583 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NEWBY STEVEN T CENTRAL INDEX KEY: 0000905383 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 6116 EXECUTIVE BLVD STREET 2: STE 701 CITY: ROCKVILLE STATE: MD ZIP: 20852 BUSINESS PHONE: 3018813660 MAIL ADDRESS: STREET 1: 6116 EXECUTIVE BLVD STREET 2: STE 701 CITY: ROCKVILLE STATE: MD ZIP: 20852 SC 13D 1 UNITED STATES SECURITIES AND EXHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities and Exchange Act of 1934 (Amendment No. )* SBE, Inc. (Name of Issuer) Common Stock, par value $0.00 (Title of Class of Securities) 783873201 (CUSIP Number) William B. Heye, President, 4550 Norris Canyon Rd. San Ramon, CA 94583 (510)355-7610 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 8, 1999 (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 Rule 13d-1(b)(3) or (4), check the following box [ ]. 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.) 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 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 and 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). CUSIP NO. 783873201 SCHEDULE 13D 1. NAME OF THE REPORTING PERSON STEVEN T. NEWBY 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] 3. SEC USE ONLY 4. SOURCE OF FUNDS* PF 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]. 6. CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES NUMBER OF 7. SOLE VOTING POWER SHARES 605,469 shares BENEFICIALLY 8. SHARED VOTING POWER OWNED BY -0- shares EACH 9. SOLE DISPOSITIVE POWER REPORTING 605,469 shares PERSON 10. SHARED DISPOSITIVE POWER WITH -0- shares 11. AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH REPORTING PERSON 605,469 shares 12. CHECK THE BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*[ ] 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.1% 14. TYPE OF REPORTING PERSON* IN The purpose of this filing is to supercede Schedule 13G Amend No. 1, filed August 16, 1999 by Steven T. Newby with respect to his beneficial ownership of the common stock, $0.00 par value per share (the "Common Stock"), of SBE, Inc. (the "Issuer"). Mr. Newby now owns over 20% of SBE, Inc.'s Common Stock. ITEM 1. Security and Issuer SBE, Inc. Common Stock Par Value $0.00 per share 4550 Norris Canyon Road San Ramon, California 94583 ITEM 2. Identity and Background A) Steven T. Newby B) 555 Quince Orchard Road, Suite 606 Gaithersburg, MD 20878 C) Broker/Dealer Newby & Company same address as above D) None E) None F) USA ITEM 3. Source and Amount of funds or Other Consideration Source of all funds - personal. No funds borrowed ITEM 4. Purpose of Transaction For investment purposes only. However, at some future date Mr. Newby may explore alternatives to maximize the value of his holdings. No further information in reference to Items 4A-4J. ITEM 5. Interest in Securities of the Issuer A) Steven T. Newby owns 605,469 shares or 21.1% of SBE, Inc. 2,876,000 shares outstanding (05/31/99). B) Steven T. Newby has sole voting and sole disposition powers. C) All purchases since the last filing have been open market transactions. 10/08/99 Bought 33,365 shares @ 3.5625 $ 118,862.81 09/29/99 Bought 11,000 shares @ 3.875 $ 42,625.00 09/29/99 Bought 4,000 shares @ 4.0625 $ 16,250.00 09/23/99 Bought 17,000 shares @ 3.9375 $ 67,468.50 09/16/99 Bought 34,000 shares @ 4.4375 $ 150,875.00 09/13/99 Bought 3,000 shares @ 4.5625 $ 13,687.50 09/09/99 Bought 6,500 shares @ 4.4375 $ 28,843.75 09/08/99 Bought 6,000 shares @ 4.4375 $ 26,625.00 09/03/99 Bought 4,000 shares @ 4.50 $ 18,000.00 08/26/99 Bought 7,500 shares @ 4.125 $ 30,937.00 D) Not applicable. E) Not applicable. ITEM 6. Contracts, Arrangements, Understandings or Relationships with respect to Securities of the Issuer. None ITEM 7. Material to be Filed as Exhibits None 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: October 8, 1999 /S/:STEVEN T. NEWBY STEVEN T. 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