-----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, NxhnqG180i9hCy0fYW/4RK6rz49tCO3JDR22y9P7Eahtm9FvZPUayeh4DYPWCUSi HLnJsbeXkHTBK2oZxEyioQ== 0000950116-96-000133.txt : 19960308 0000950116-96-000133.hdr.sgml : 19960308 ACCESSION NUMBER: 0000950116-96-000133 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960307 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ULTRALIFE BATTERIES INC CENTRAL INDEX KEY: 0000875657 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 161387013 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44435 FILM NUMBER: 96532079 BUSINESS ADDRESS: STREET 1: 1350 RTE 88 SOUTH STREET 2: P O BOX 622 CITY: NEWARK STATE: NY ZIP: 14513 BUSINESS PHONE: 3153327100 MAIL ADDRESS: STREET 1: 1350 ROUTE 88 S STREET 2: PO BOX 622 CITY: NEWARK STATE: NJ ZIP: 14513 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INTERMAGNETICS GENERAL CORP CENTRAL INDEX KEY: 0000351012 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS FABRICATED METAL PRODUCTS [3490] IRS NUMBER: 141537454 STATE OF INCORPORATION: NY FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 450 OLD NISKAYUNA ROAD STREET 2: PO BOX 461 CITY: LATHAM STATE: NY ZIP: 12110-0461 BUSINESS PHONE: 5184565456 MAIL ADDRESS: STREET 1: 450 OLD NISKAYUNA ROAD STREET 2: PO BOX 461 CITY: LATHAM STATE: NY ZIP: 12110-0461 SC 13D/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 -------------------------- SCHEDULE 13D Under the Securities Exchange of 1934 Amendment No. 4 Ultralife Batteries, Inc. --------------------------- (Name of Issuer) Common Stock --------------------------- (Title of Class of Securities) 903899102 --------------------------- (CUSIP Number) Carl H. Rosner, President Intermagnetics General Corporation 450 Old Niskayuna Road Latham, New York 12110 (518)782-1122 --------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) March 1, 1996 --------------------------- (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 this 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.) * 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 covering 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). CUSIP No. 903899102 SCHEDULE 13D =============================================================================== (1) NAMES OF REPORTING PERSONS, S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Intermagnetics General Corporation 14-1537454 =============================================================================== (2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] =============================================================================== (3) SEC Use Only =============================================================================== (4) Source of Funds (See Instructions) OO =============================================================================== (5) Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] =============================================================================== (6) Citizenship or Place of Organization State of New York =============================================================================== Number of Shares (7) Sole Voting Power 975,753 ==================================================== Beneficially Owned (8) Shared Voting Power ==================================================== by Each Reporting (9) Sole Dispositive Power 975,753 ==================================================== Person With (10) Shared Dispositive Power =============================================================================== (11) Aggregate Amount Beneficially Owned by Each Reporting Person 975,753 Shares =============================================================================== (12) Check the Box if the Aggregate Amount in Row (11) Excludes Certain Shares [ X] =============================================================================== (13) Percent of Class Represented by Amount in Row (11) 12.4% =============================================================================== (14) Type of Reporting Person (See Instructions) CO =============================================================================== SEE INSTRUCTIONS BEFORE FILLING OUT! This Amendment No. 4 to Schedule 13D ("Amendment No. 4") amends and supplements the prior statement on Schedule 13D (the "Statement") as filed by Intermagnetics General Corporation (the "Reporting Person") dated December 31, 1992, as amended by Amendment No. 1 to Schedule 13D, dated May 28, 1993, Amendment No. 2 to Schedule 13D, dated December 1, 1994, and Amendment No. 3 to Schedule 13D, dated September 28, 1995, each of which relate to the Common Stock, $.10 par value per share, of Ultralife Batteries, Inc., a Delaware corporation (the "Issuer"). In the event that any disclosure contained in this Amendment No. 4 is inconsistent with the disclosure contained in the Statement, the disclosures contained herein shall supersede such inconsistent disclosure from the date of this Amendment No. 4. Item 1. Security and Issuer No change. Item 2. Identity and Background No change, except as to the amendment and restatement of Schedule I, incorporated herein by reference, to reflect the names, business addresses and principal occupations of an additional executive officer and additional director of the Reporting Person, and the current titles of each of the other executive officers. Item 3. Source and Amount of Funds or Other Consideration No change. Item 4. Purpose of Transaction No change. Item 5. Interest in Securities of the Issuer (a) Item 5.a. of the Statement is amended by deleting it in its entirety and substituting in lieu thereof the following: The Reporting Person currently owns 975,753 shares of the Common Stock of the Issuer (the "Shares") corresponding to 12.4% of the outstanding shares of Common Stock of the Issuer. Carl H. Rosner, Chairman, President and CEO of the Reporting Person, owns 833 shares of the Common Stock of the Issuer, and serves as a director on the Board of Directors of the Issuer. As a director of the Issuer, Mr. Rosner has received, and currently holds, options to purchase shares of the Issuer as follows: Shares Subject to Purchase Exercise Price Expiration Date -------------- -------------- --------------- 1,500 $ 9.00 June 30, 1998 1,500 $ 8.75 September 30, 1998 1,500 $11.75 December 31, 1998 1,500 $12.00 March 31, 1999 1,500 $13.75 June 30, 1999 1,500 $15.75 September 30, 1999 1,500 $16.00 December 31, 1999 1,500 $17.50 March 31, 2000 1,500 $18.25 June 30, 2000 1,500 $24.50 September 30, 2000 1,500 $24.00 December 31, 2000 The Reporting Person disclaims beneficial ownership of such shares and options to acquire such shares. Joseph C. Abeles, a director of the Reporting Person, owns 199,000 shares of the Common Stock of the Issuer. Mr. Abeles also serves as a director on the Board of Directors of the Issuer. As a director of the Issuer, Mr. Abeles has received, and currently holds, options to purchase shares of the Issuer as follows: Shares Subject to Purchase Exercise Price Expiration Date -------------- -------------- --------------- 1,500 $ 9.00 June 30, 1998 1,500 $ 8.75 September 30, 1998 1,500 $11.75 December 31, 1998 1,500 $12.00 March 31, 1999 1,500 $13.75 June 30, 1999 1,500 $15.75 September 30, 1999 1,500 $16.00 December 31, 1999 1,500 $17.50 March 31, 2000 1,500 $18.25 June 30, 2000 1,500 $24.50 September 30, 2000 1,500 $24.00 December 31, 2000 Mr. Abeles' spouse owns 25,000 shares of the Issuer, and Mr. Abeles disclaims beneficial ownership of such shares. Abeles Associates, Inc., a company of which Mr. Abeles is Chairman, owns 12,000 shares of the Issuer, and Mr. Abeles disclaims beneficial ownership of such shares. The Reporting Person disclaims beneficial ownership of the shares and options to acquire shares beneficially owned by Mr. Abeles. Stuart A. Shikiar, a director of the Reporting Person, owns 85,000 shares of the Common Stock of the Issuer. Mr. Shikiar also serves as a director on the Board of Directors of the Issuer. As a director of the Issuer, Mr. Shikiar has received, and currently holds, options to purchase shares of the Issuer as follows: Shares Subject to Purchase Exercise Price Expiration Date -------------- -------------- --------------- 1,500 $ 9.00 June 30, 1998 1,500 $ 8.75 September 30, 1998 1,500 $11.75 December 31, 1998 1,500 $12.00 March 31, 1999 1,500 $13.75 June 30, 1999 1,500 $15.75 September 30, 1999 1,500 $16.00 December 31, 1999 1,500 $17.50 March 31, 2000 1,500 $18.25 June 30, 2000 1,500 $24.50 September 30, 2000 1,500 $24.00 December 31, 2000 The Reporting Person disclaims beneficial ownership of the shares and options to acquire shares beneficially owned by Mr. Shikiar. (b) No change (c) Item 5.(c) of the Statement is amended by adding to the end thereof the following: On February 27, 1996, the Reporting Person sold 3,000 shares of the Issuer's Common Stock at a price of $16.00 per share in a brokerage transaction reported on NASDAQ. On February 29, 1996, the Reporting Person sold an additional 3,000 shares of the Issuer's Common Stock at a price of $16.50 per share in a brokerage transaction reported on NASDAQ. On March 1, 1996, the Reporting Person sold an additional 3,000 shares of the Issuer's Common Stock at a price of $17.00 per share in a brokerage transaction reported on NASDAQ. (d) No change. (e) No Change. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer No change. Item 7. Material to Be Filed as Exhibits No change. 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. March 6, 1996 By: /s/ Michael C. Zeigler -------------------------------------------- Michael C. Zeigler, Senior Vice President - Finance, and Chief Financial Officer on behalf of INTERMAGNETICS GENERAL CORPORATION Schedule I The names, addresses and principal occupations of each of the executive officers and directors of Intermagnetics General Corporation (the "Reporting Person") are listed below. The business address of each of the persons listed below is c/o Intermagnetics General Corporation, 450 Old Niskayuna Road, Latham, New York 12110. - ------------------------------------------------------------------------------ Name and Address Positions and Principal Occupation - ------------------------------------------------------------------------------ Carl H. Rosner Chairman, CEO and President of the Reporting Person. - ------------------------------------------------------------------------------ Charles J. Dannemann Senior Vice President - Operations of the Reporting Person. - ------------------------------------------------------------------------------ Michael C. Zeigler Senior Vice-President - Finance & Chief Financial Officer of the Reporting Person. - ------------------------------------------------------------------------------ Bruce A. Zeitlin Corporate Vice President of the Reporting Person, and General Manager of APD Cryogenics Inc., a wholly owned subsidiary of the Reporting Person. - ------------------------------------------------------------------------------ Gary Hordeski Senior Vice President of InterCool Energy Corporation, a wholly owned subsidiary of the Reporting Person. - ------------------------------------------------------------------------------ Ian L. Pykett Vice President of Technology Development Operations, a division of the Reporting Person. - ------------------------------------------------------------------------------ Richard L. Rhodenizer Vice President of the Magnet Business Unit, a division of the Reporting Person - ------------------------------------------------------------------------------ Robert S. Sokolowski Vice President and General Manager of IGC Advanced Superconductors, a division of the Reporting Person. - ------------------------------------------------------------------------------ Joseph C. Abeles Director of the Reporting Person, and private investor; director of Patten Corporation, Ultralife Batteries, Inc., and IGENE Biotechnology, Inc. - ------------------------------------------------------------------------------ Edward E. David, Jr. Director of the Reporting Person, and President, EED Inc. (technology and research management advisors); director of California Microwave, Inc. and Protein Polymer Technologies. - ------------------------------------------------------------------------------ J.E. Goldman Director of the Reporting Person, and through March, 1994, Chairman of Softstrip, Inc., a manufacturer of personal computer accessories; director of Bank Leumi Trust Company of New York. - ------------------------------------------------------------------------------ Thomas L. Kempner Director of the Reporting Person, and Chairman and Chief Executive Officer, Loeb Partners Corporation, an investment banking firm; director Alcide Corporation, The Arlen Corporation, Roper Starch Worldwide, Inc., IGENE Biotechnology, Inc., Energy Research Corporation, Northwest Airlines, Inc. and Silent Radio, Inc. - ------------------------------------------------------------------------------ Stuart A. Shikiar Director of the Reporting Person, and President, Shikiar Asset Management, Inc., which is a registered investment advisory company, since November 1994; from 1993 to November, 1994, General Partner, Omega Advisors, Inc.; from 1985 to 1993, Managing Director and Chief Investment Officer of Prudential Securities Investment Management; director of Patten Corporation and Ultralife Batteries, Inc. - ------------------------------------------------------------------------------ Sheldon Weinig Director of the Reporting Person, and Vice Chairman of Sony Engineering & Manufacturing of America ("Sony") since 1989; Chairman of Materials Research Corporation since 1957 (Materials Research Corporation was acquired by Sony); director Insituform Technology Inc., Aseco Corporation and Unique Mobility Inc. - ------------------------------------------------------------------------------ -----END PRIVACY-ENHANCED MESSAGE-----