-----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, PmAtg7ZD8kha4e3NJ0OF6zwhgp3udTVfzmUczsbLC1JSupdZfdtGRdAxr4BFc6h9 krUNHqQCQHck3hVeXe/wIw== 0000094538-98-000004.txt : 19980319 0000094538-98-000004.hdr.sgml : 19980319 ACCESSION NUMBER: 0000094538-98-000004 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980318 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STOCKER & YALE INC CENTRAL INDEX KEY: 0000094538 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 042114473 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-47779 FILM NUMBER: 98568411 BUSINESS ADDRESS: STREET 1: 32 HAMPSHIRE ROAD CITY: SALEM STATE: NH ZIP: 03079 BUSINESS PHONE: 5082843248 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STOCKER & YALE INC CENTRAL INDEX KEY: 0000094538 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 042114473 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 32 HAMPSHIRE ROAD CITY: SALEM STATE: NH ZIP: 03079 BUSINESS PHONE: 5082843248 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information to be included in statements filed pursuant to rule 13d-1(b)(c), and (d) and amendments thereto filed pursuant to rule 13d-2(b). STOCKER & YALE, INC. ------------------- (Name of issuer) Common Stock, $0.001 par value ------------------------------ (Title of class of securities) 86126 T 104 ----------- (Cusip number) February 18, 1998 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which this schedule is filed: ( ) Rule 13d-1(b) (X) Rule 13d-1(c) ( ) Rule 13d-1(d) (Continued on the following pages) (Page 1 of 5 Pages) CUSIP NO. 86126 T 104 PAGE 2 OF 5 PAGES 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Daniel L. Mosley 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) ( ) (B) ( X ) 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 SOLE VOTING POWER 0 6 SHARED VOTING POWER 174,766.5 7 SOLE DISPOSITIVE POWER 0 8 SHARED DISPOSITIVE POWER 174,766.5 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (X) 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% 12 TYPE OF REPORTING PERSON IN CUSIP 86126 T 104 PAGE 3 OF 5 Item 1(a). Name of Issuer: Stocker & Yale, Inc ------------------- Item 1(b). Address of Issuer's Principal Executive Offices: 32 Hampshire Road Salem, NH 03079 ----------------------------------- Item 2(a). Name of Person Filing: Daniel L. Mosley --------------------- Item 2(b). Address of Principal Busines Office or, if None, Residence: c/o Cravath, Swain & Moore 825 8th Avenue New York, NY 10019 --- Item 2(c). Citizenship: United States of America ------------------------ Item 2(d). Title of Class of Securities: Common Stock, $0.001 par value ------------------------------- Item 2(e). CUSIP Number: 86126 T 104 ----------- Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check whether the person filing is a: (a)( )Broker or dealer registered under Section 15 of the Exchange Act. (b)( )Bank as defined in Section 3(a)(6) of the Exchange Act. (c)( )Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d)( )Investment company registered under Section 8 of the Investment Company Act. (e)( )An investment advisor in accordance with Rule 13d-1(b)(1)(ii)(E). (f)( )An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). (g)( )A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). (h)( )A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i)( )A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act. (j)( )Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check here. (X) Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 0 -------------------------------------- Daniel L. Mosley ("Mr. Mosley") is a trustee of the Blodgett 1989 Family Trust and the Helen W. Blodgett Trust, and in such capacity, Mr. Mosley has shared power to vote and dispose of the assets of each trust. The Blodgett 1989 Family Trust beneficially owns 141,607.2 shares of Common Stock and the Helen W. Blodgett Trust beneficially owns 33,159.3 shares of Common Stock. Mr. Mosley disclaims beneficial ownership of all shares of Common Stock held by the Blodgett 1989 Family Trust and the Helen W. Blodgett Trust. (b) Percent of class: 0% ----------------------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 0 ------------------------------------------------------ (ii) Shared power to vote or to direct the vote: 174,766.5 --------------------------------------------------------- (iii) Sole power to dispose or to direct the disposition of: 0 ----------------------------------------------------------- (iv) Shared power to dispose or to direct the disposition of: 174,766.5 ------------------------------------------------------------------ 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. Certifications By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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 18, 1998 ---------------------------- (Date) /s/ Daniel L. Mosley ---------------------------- (Signature) Daniel L. Mosley ---------------------------- (Name/Title) -----END PRIVACY-ENHANCED MESSAGE-----