-----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, VyC5/yFA4zzq8Oqn4pBO5ikGIij3VKt6oHT1AmZV/etL0cQ9tg03Sr63/4EwWYbB NCzWJGJhKj40R5S0DX5+JQ== 0000927016-98-000151.txt : 19980122 0000927016-98-000151.hdr.sgml : 19980122 ACCESSION NUMBER: 0000927016-98-000151 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980121 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: VISION SCIENCES INC /DE/ CENTRAL INDEX KEY: 0000894237 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 133430173 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48987 FILM NUMBER: 98509737 BUSINESS ADDRESS: STREET 1: 6 STRATHMORE ROAD CITY: NATICK STATE: MA ZIP: 01760 BUSINESS PHONE: 5086509971 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PELL LEWIS C CENTRAL INDEX KEY: 0000901507 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O VISION SCIENCES INC STREET 2: 6 STRATHMORE RD CITY: NATICK STATE: MA ZIP: 01760 BUSINESS PHONE: 5086509971 MAIL ADDRESS: STREET 1: C/O VISION SCIENCES INC STREET 2: 6 STRATHMORE RD CITY: NATICK STATE: MA ZIP: 01760 SC 13G/A 1 SCHEDULE 13G/A FOR LEWIS C. PELL OMB APPROVAL -------------------------- OMB Number 3235-0145 Expires: October 31, 1997 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. 4) Vision-Sciences, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value per share - ------------------------------------------------------------------------------- (Title of Class of Securities) 927912105 ----------------- (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 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 persons'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 coverage 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). - ----------------------- --------------------- CUSIP NO. 927912105 13G PAGE 2 OF 5 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Lewis C. Pell - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] N/A (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 4,205,008 (1) SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 4,205,008 (1) PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 4,205,008 (1) - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10 CERTAIN SHARES* [_] N/A - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 25.27% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Includes 50,000 shares and 42,500 shares held of record and beneficially owned by Mr. Pell's wife and child, respectively. Mr. Pell disclaims beneficial ownership of these shares. CUSIP NO. 927912105 13G Page 3 of 5 Pages Item 1(a). Name of Issuer: - --------- -------------- Vision-Sciences Item 1(b). Address of Issuer's Principal Executive Offices: - --------- ----------------------------------------------- 6 Strathmore Road Natick, MA 01760 Item 2(a). Name of Person Filing: - --------- --------------------- Lewis C. Pell Item 2(b). Address of Principal Business Office or, if none, Residence: - --------- ----------------------------------------------------------- c/o Vision-Sciences, Inc. Six Strathmore Road Natick, Massachusetts 01760 Item 2(c). Citizenship. - --------- ----------- Mr. Pell is a United States citizen Item 2(d). Title of Class of Securities: - --------- ---------------------------- Common Stock, $.01 par value Item 2(e). CUSIP Number: - --------- ------------ CUSIP NO. 927912105 Item 3. Status if filed pursuant to - ------ --------------------------- Rules 13d-1(b) or 13d-2(b): -------------------------- Not Applicable. CUSIP NO. 927912105 13G Page 4 of 5 Pages Item 4. Ownership: - ------ --------- (a) Amount Beneficially Owned by Reporting Person: 4,205,008* (b) Percent of Class: 25.27% (c) Number of shares as to which Reporting Person has: (i) sole power to vote or to direct the vote 4,205,008* ----------- (ii) shared power to vote or to direct the vote -0- ------- (iii) sole power to dispose or to direct the disposition of 4,205,008* ---------- (iv) shared power to dispose or to direct the disposition of -0- --------- __________________ * Includes 50,000 shares and 42,500 shares held of record and beneficially owned by Mr. Pell's wife and child, respectively. Mr. Pell disclaims beneficial ownership of these shares. Item 5. Ownership of Five Percent of 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 5% of the class of securities, check the following: ___ /__/ Item 6. Ownership of More than Five Percent on Behalf of Another Person. - ------ --------------------------------------------------------------- Not applicable. CUSIP NO. 927912105 13G Page 5 of 5 Pages - ------------------- --- 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. 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. January 11, 1998 ---------------- Date /s/ Lewis C. Pell ------------------ Lewis C. Pell -----END PRIVACY-ENHANCED MESSAGE-----