-----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, ODmNuBif0dOuNB0ALAmgTbFJiYMe3shFpCNppe0g2rao/CsxzjdMxGHBei6bSgYO dgl/hjOh7/V6O8KdlBbpmw== 0000899140-05-000924.txt : 20051014 0000899140-05-000924.hdr.sgml : 20051014 20051014160047 ACCESSION NUMBER: 0000899140-05-000924 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20051014 DATE AS OF CHANGE: 20051014 GROUP MEMBERS: IAN WACE GROUP MEMBERS: MARK HAWTIN GROUP MEMBERS: THE EUREKA INTERACTIVE FUND LIMITED SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STOCKERYALE 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: 1934 Act SEC FILE NUMBER: 005-47779 FILM NUMBER: 051139001 BUSINESS ADDRESS: STREET 1: 32 HAMPSHIRE ROAD CITY: SALEM STATE: NH ZIP: 03079 BUSINESS PHONE: 6038938778 MAIL ADDRESS: STREET 1: 32 HAMPSHIRE ROAD CITY: SALEM STATE: NH ZIP: 03079 FORMER COMPANY: FORMER CONFORMED NAME: STOCKER & YALE INC DATE OF NAME CHANGE: 19950623 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Marshall Wace LLP CENTRAL INDEX KEY: 0001318757 IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: THE ADELPHI STREET 2: 1-11 JOHN ADAM STREET CITY: LONDON STATE: X0 ZIP: WC2N 6HT BUSINESS PHONE: 44-207-316-2251 MAIL ADDRESS: STREET 1: THE ADELPHI STREET 2: 1-11 JOHN ADAM STREET CITY: LONDON STATE: X0 ZIP: WC2N 6HT SC 13G 1 s3017745b.txt INITIAL FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* StockerYale, Inc. ----------------- (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 86126T203 --------- (CUSIP Number) October 5, 2005 --------------- (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) *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 the 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 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. 86126T203 13G Page 2 of 11 Pages - ------------------- ------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Marshall Wace LLP - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION England - ---------------------------- ------ -------------------------------------------- 5 SOLE VOTING POWER 0 ------ -------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 4,162,963 OWNED BY ------ -------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 0 WITH ------ -------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,162,963 - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,162,963 - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 14.6% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT - ------------------- ------------------ CUSIP No. 86126T203 13G Page 3 of 11 Pages - ------------------- ------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON The Eureka Interactive Fund Limited - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands - ---------------------------- ------ -------------------------------------------- 5 SOLE VOTING POWER 0 ------ -------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 4,162,963 OWNED BY ------ -------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 0 WITH ------ -------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,162,963 - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,162,963 - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 14.6% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - --------- ---------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT - ------------------- ------------------ CUSIP No. 86126T203 13G Page 4 of 11 Pages - ------------------- ------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Ian Wace - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION England - ---------------------------- ------ -------------------------------------------- 5 SOLE VOTING POWER 0 ------ -------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 4,162,963 OWNED BY ------ -------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 0 WITH ------ -------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,162,963 - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,162,963 - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 14.6% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT - ------------------- ------------------ CUSIP No. 86126T203 13G Page 5 of 11 Pages - ------------------- ------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Mark Hawtin - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION England - ---------------------------- ------ -------------------------------------------- 5 SOLE VOTING POWER 0 ------ -------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 4,162,963 OWNED BY ------ -------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 0 WITH ------ -------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,162,963 - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,162,963 - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 14.6% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT Item 1(a) Name of Issuer: -------------- The name of the issuer is StockerYale, Inc., a Massachusetts corporation (the "Company"). Item 1(b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- The Company's principal executive office is located at 32 Hampshire Road, Salem, New Hampshire 03079. Items 2(a) Name of Person Filing: --------------------- This Schedule 13G is filed by: (i) Marshall Wace LLP, a limited liability partnership incorporated in England (the "Investment Manager"), which serves as investment manager or adviser to a variety of hedge funds and managed accounts, including The Eureka Interactive Fund Limited; (ii) The Eureka Interactive Fund Limited, an exempted company incorporated with limited liability in the Cayman Islands, which operates as an open-ended investment fund (the "Fund") that owns the shares of Common Stock (as defined in Item 2(d)) and warrants to purchase Common Stock which are reported herein (such shares and warrants reported herein, the "Securities"); (v) Mr. Ian Wace ("Mr. Wace"), who is a co-founder and equity owner of the Investment Manager and who is responsible for the investment decisions of the Investment Manager with respect to the Securities; and (vi) Mr. Mark Hawtin ("Mr. Hawtin"), who is an equity owner of the Investment Manager and who is responsible for the investment decisions of the Investment Manager with respect to the Securities. The Investment Manager, Fund and Messrs. Wace and Hawtin are hereinafter sometimes collectively referred to as the "Reporting Persons." Item 2(b) Address of Principal Business Office: ------------------------------------ The address of the principal business office of each of the Reporting Persons is The Adelphi, 13th Floor, 1/11 John Adam Street London, England WC2N 6HT. Item 2(c) Citizenship: ----------- The Fund is an exempted company incorporated with limited liability in the Cayman Islands. The Investment Manager is incorporated in England. Messrs. Wace and Hawtin are British citizens. Page 6 of 11 pages Item 2(d) Title of Class of Securities: ---------------------------- Common Stock, $0.001 par value ("Common Stock"). Item 2(e) CUSIP Number: ------------ 86126T203 Item 3 If this statement is filed pursuant to Rules 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 Act, B. [ ] Bank as defined in Section 3(a)(6) of the Act, C. [ ] Insurance Company as defined in Section 3(a)(19) of the Act, D. [ ] Investment Company registered under Section 8 of the Investment Company Act of 1940, E. [ ] Investment Adviser in accordance with Rule 13d-1 (b)(1)(ii)(E), F. [ ] Employee Benefit Plan or Endowment Fund in accordance with 13d-1 (b)(1)(ii)(F), G. [ ] Parent Holding Company or control person in accordance with Rule 13d-1 (b)(1)(ii)(G), H. [ ] Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act, I. [ ] Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940, J. [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Item 4 Amount Beneficially Owned: ------------------------- The beneficial ownership of Securities by the Reporting Persons, as of the date hereof, is as follows: A. The Eureka Interactive Fund Limited ----------------------------------- (a) Amount beneficially owned: 3,172,222 shares of Common Stock, 740,741 warrants to purchase Common Stock expiring on August 12, 2010, and 250,000 warrants to purchase Common Stock, expiring May 12, 2010, for an aggregate beneficial ownership of 4,162,963 shares of Common Stock. (b) Percent of class: 14.6%. The percentages used herein and elsewhere in this Schedule 13G are calculated based upon a total of 28,610,206 shares of Common Stock issued and outstanding which is the sum of: (i) the 27,619,465 shares of Common Stock stated to be issued and outstanding as of October 7, 2005, per private communication from the Company and (ii) the total 990,741 warrants to purchase Common Stock held by the Fund. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 4,162,963 (iii) Sole power to dispose or direct the disposition: 0 Page 7 of 11 pages (iv) Shared power to dispose or direct the disposition: 4,162,963 B. Marshall Wace LLP ----------------- (a) Amount beneficially owned: 4,162,963 (b) Percent of class: 14.6%. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 4,162,963 (iii) Sole power to dispose or direct the disposition: 0 (iv) Shared power to dispose or direct the disposition: 4,162,963 C. Ian Wace -------- (a) Amount beneficially owned: 4,162,963 (b) Percent of class: 14.6%. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 4,162,963 (iii) Sole power to dispose or direct the disposition: 0 (iv) Shared power to dispose or direct the disposition: 4,162,963 D. Mark Hawtin ----------- (a) Amount beneficially owned: 4,162,963 (b) Percent of class: 14.6%. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 4,162,963 (iii) Sole power to dispose or direct the disposition: 0 (iv) Shared power to dispose or direct the disposition: 4,162,963 Item 5 Ownership of Five Percent or 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 five percent of the class of securities, check the following. [ ] Item 6 Ownership of More than Five Percent on Behalf of Another Person: --------------------------------------------------------------- Other than as set forth herein, no other person has the right to receive or the power to direct the receipt of dividends from, or proceeds from the sale of, in excess of 5% of the total outstanding Common Stock. Page 8 of 11 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: ------------- Each of the Reporting Persons hereby makes the following certification: 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. Page 9 of 11 pages 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. Dated: October 13, 2005 THE EUREKA INTERACTIVE FUND LIMITED By: Marshall Wace LLP, its Investment Manager By: /s/ Mark Hawtin ------------------------------------ Name: Mark Hawtin Title: Partner MARSHALL WACE LLP By: /s/ Mark Hawtin ------------------------------------ Name: Mark Hawtin Title: Partner /s/ Ian Wace ---------------------------------------- Ian Wace /s/ Mark Hawtin ---------------------------------------- Mark Hawtin [SIGNATURE PAGE OF SCHEDULE 13G WITH RESPECT TO STOCKERYALE, INC.] Exhibit Index ------------- Exhibit 99.1: Joint Filing Agreement, dated October 13, 2005, by and between The Eureka Interactive Fund Limited, Marshall Wace LLP, Ian Wace and Mark Hawtin. EX-99.1 3 s3017745c.txt JOINT FILING AGREEMENT Exhibit 99.1 ------------ JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k)(1) ---------------------------- The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the others, except to the extent that it knows or has reason to believe that such information is inaccurate. This Agreement may be executed in any number of counterparts and all of such counterparts taken together shall constitute one and the same instrument. Dated: October 13, 2005 THE EUREKA INTERACTIVE FUND LIMITED By: Marshall Wace LLP, its Investment Manager By: /s/ Mark Hawtin ------------------------------------ Name: Mark Hawtin Title: Partner MARSHALL WACE LLP By: /s/ Mark Hawtin ------------------------------------ Name: Mark Hawtin Title: Partner /s/ Ian Wace ---------------------------------------- Ian Wace /s/ Mark Hawtin ---------------------------------------- Mark Hawtin -----END PRIVACY-ENHANCED MESSAGE-----