-----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, Q0/GZoqy79QiaGCVKNr/lmHSm3MC2eXPMyMupMBeHcr+tmapQqwpvwabxoSCw6eT ooWzADtZSGQx7YnZBaQwpA== 0000950005-98-000151.txt : 19980217 0000950005-98-000151.hdr.sgml : 19980217 ACCESSION NUMBER: 0000950005-98-000151 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIBERSTARS INC /CA/ CENTRAL INDEX KEY: 0000924168 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC LIGHTING & WIRING EQUIPMENT [3640] IRS NUMBER: 943021850 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48205 FILM NUMBER: 98534899 BUSINESS ADDRESS: STREET 1: 2883 BAYVIEW DR CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5104900719 MAIL ADDRESS: STREET 1: 2883 BAYVIEW DR CITY: FREMONT STATE: CA ZIP: 94538 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RUCKERT DAVID N CENTRAL INDEX KEY: 0001034429 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 2883 BAYVIEW DR CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5104900719 SC 13G/A 1 SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Fiberstars, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 315662 10 6 - -------------------------------------------------------------------------------- (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 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 disclosure 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). Page 1 of 5 pages
- --------------------------------------- -------------------------------------- CUSIP NO. 315662 10 6 13G Page 3 of 5 Pages - --------------------------------------- -------------------------------------- - ----------- --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S. S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David N. Ruckert - ----------- --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ----------- --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ----------- --------------------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY 221,573 BY EACH REPORTING PERSON WITH ---------- ------------------------------------------------------------------------------- 6 SHARED VOTING POWER ---------- ------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 221,573 ---------- ------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER - -------------------------- ---------- ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 221,573 - ----------- --------------------------------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ----------- --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.2% - ----------- --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * IN - ----------- --------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT!
Page 2 of 5 pages Schedule 13G David N. Ruckert (Cont'd) Item 1(a) Name of Issuer: Fiberstars, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 2883 Bayview Drive Fremont, CA 94538 Item 2(a) Name of Person Filing: David N. Ruckert Item 2(b) Address of Principal Business Office, or if None, Residence: c/o Fiberstars, Inc. 2883 Bayview Drive Fremont, CA 94538 Item 2(c) Citizenship: United States of America Item 2(d) Title of Class Securities Common Stock Item 2(e) CUSIP Number: 315662 10 6 Item 3 Type of Person: Not Applicable Item 4 Ownership (at December 31, 1997): (a) and (b) Amount beneficially owned: As of December 31, 1997, Mr. Ruckert beneficially owned 221,573 or 6.2% of the outstanding shares of Common Stock of the Issuer. Page 3 of 5 pages Schedule 13G David N. Ruckert (Cont'd) (c) Number of shares as to which such person has: Mr. Ruckert has the sole power to vote or direct the vote with respect to 134,073 shares of Common Stock which are issued and outstanding. Mr. Ruckert also holds an option to purchase 50,000 shares of Common Stock at an exercise price of $6.50 per share which vests in four equal annual installments from the grant date (September 29, 1994), and is currently vested and fully exercisable for 37,500 shares, with the remainder becoming fully exercisable on September 29, 1998. This option expires on September 28, 1999. Mr. Ruckert also holds an option to purchase 50,000 shares of Common Stock at an exercise price of $5.50 per share which vests in four equal annual installments from the grant date (January 27, 1995), and is currently vested and fully exercisable for 37,500 shares, with the remainder becoming fully exercisable on January 27, 1999. This option expires on January 26, 2000. Mr. Ruckert also holds an option to purchase 50,000 shares of Common Stock at an exercise price of $4.75 per share, which vests in four equal annual installments from the grant date (December 6, 1996) and is currently vested and exercisable for 12,500 shares, with the remainder becoming fully exercisable on December 6, 2000. This option expires on December 5, 2001. Mr. Ruckert also holds an option to purchase 50,000 shares of Common Stock at an exercise price of $5.50 per share which vests in four equal annual installments from the grant date (December 5, 1997) and is not yet vested or exercisable for any shares. This option expires on December 4, 2002. 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 Page 4 of 5 pages Schedule 13G David N. Ruckert (Cont'd) 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. Date: February 11, 1998 /s/ David N. Ruckert -------------------- Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----