-----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, VI2JFZ5+OGAI8TVBrv8Fzo0Q1BeaXpFw2d8HAIMqqZ5T4Ih8inSf3o8cCd9Gblzm CsgNNdT9KC9Sp9ykwyMc6A== 0000902664-08-000376.txt : 20080130 0000902664-08-000376.hdr.sgml : 20080130 20080130131901 ACCESSION NUMBER: 0000902664-08-000376 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080130 DATE AS OF CHANGE: 20080130 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47779 FILM NUMBER: 08560597 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: SMITHFIELD FIDUCIARY LLC CENTRAL INDEX KEY: 0001141111 IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: THE CAYMAN CORPORATE CENTRE, 4TH FLOOR STREET 2: 27 HOSPITAL ROAD CITY: GRAND CAYMAN STATE: E9 ZIP: 00000 BUSINESS PHONE: 3459451400 MAIL ADDRESS: STREET 1: P.O. BOX 30554 STREET 2: SEVEN MILE BEACH CITY: GRAND CAYMAN STATE: E9 ZIP: 00000 SC 13G/A 1 p08-0116sc13ga.txt STOCKERYALE INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ---------------------- SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* StockerYale Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 86126T203 (CUSIP Number) December 31, 2007 (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 in the remainder of this cover page shall not be deemed to be "filed" for 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 11 Pages CUSIP No. 86126T203 13G/A Page 2 of 11 Pages - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Smithfield Fiduciary LLC - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands, British West Indies - ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ---------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 692,069 shares of Common Stock OWNED BY Warrants to acquire 1,207,969 shares of Common Stock EACH ----------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER 0 PERSON WITH ---------------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 692,069 shares of Common Stock Warrants to acquire 1,207,969 shares of Common Stock - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 692,069 of Common Stock Warrants to acquire 1,207,969 shares of Common Stock - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.83% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** OO - ------------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 86126T203 13G/A Page 3 of 11 Pages - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Highbridge International LLC - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands, British West Indies - ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ---------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 692,069 shares of Common Stock OWNED BY Warrants to acquire 1,207,969 shares of Common Stock EACH ---------------------------------------------------------------- (7) SOLE DISPOSITIVE POWER REPORTING 0 ---------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 692,069 shares of Common Stock Warrants to acquire 1,207,969 shares of Common Stock - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 692,069 shares of Common Stock Warrants to acquire 1,207,969 shares of Common Stock - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.83% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** OO - ------------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 86126T203 13G/A Page 4 of 11 Pages - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Highbridge Capital Management, LLC 20-1901985 - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware - ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ---------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 692,069 shares of Common Stock OWNED BY Warrants to acquire 1,207,969 shares of Common Stock EACH ---------------------------------------------------------------- (7) SOLE DISPOSITIVE POWER REPORTING 0 ---------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 692,069 shares of Common Stock Warrants to acquire 1,207,969 shares of Common Stock - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 692,069 shares of Common Stock Warrants to acquire 1,207,969 shares of Common Stock - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.83% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** OO - ------------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 86126T203 13G/A Page 5 of 11 Pages - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Glenn Dubin - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ---------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 692,069 shares of Common Stock OWNED BY Warrants to acquire 1,207,969 shares of Common Stock EACH ---------------------------------------------------------------- (7) SOLE DISPOSITIVE POWER REPORTING 0 ---------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 692,069 shares of Common Stock Warrants to acquire 1,207,969 shares of Common Stock - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 692,069 shares of Common Stock Warrants to acquire 1,207,969 shares of Common Stock - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.83% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** OO - ------------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 86126T203 13G/A Page 6 of 11 Pages - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Henry Swieca - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ---------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 692,069 shares of Common Stock OWNED BY Warrants to acquire 1,207,969 shares of Common Stock EACH ---------------------------------------------------------------- (7) SOLE DISPOSITIVE POWER REPORTING 0 ---------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 692,069 shares of Common Stock Warrants to acquire 1,207,969 shares of Common Stock - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 692,069 shares of Common Stock Warrants to acquire 1,207,969 shares of Common Stock - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.83% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** OO - ------------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 86126T203 13G/A Page 7 of 11 Pages This Amendment No. 1 (this "Amendment") amends the statement on Schedule 13G filed on February 22, 2007 (as amended, the "Schedule 13G") with respect to the shares of common stock, par value $0.001 per share (the "Common Stock") of StockerYale, Inc., a Massachusetts corporation (the "Company"). Capitalized terms used herein and not otherwise defined in this Amendment have the meanings set forth in the Schedule 13G. This Amendment amends and restates Items 2(a), 2(b), 2(c), 4, 5 and 10 in their entirety as set forth below. Item 2(a). Name of Person Filing Item 2(b). Address of Principal Business Office Item 2(c). Citizenship SMITHFIELD FIDUCIARY LLC ------------------------ c/o Harmonic Fund Services The Cayman Corporate Center, 4th Floor 27 Hospital Road George Town, Grand Cayman Cayman Islands, British West Indies Citizenship: Cayman Islands, British West Indies HIGHBRIDGE INTERNATIONAL LLC ---------------------------- c/o Harmonic Fund Services The Cayman Corporate Centre, 4th Floor 27 Hospital Road Grand Cayman, Cayman Islands, British West Indies Citizenship: Cayman Islands, British West Indies HIGHBRIDGE CAPITAL MANAGEMENT, LLC IRS#: 20-1901985 ---------------------------------- 9 West 57th Street, 27th Floor New York, New York 10019 Citizenship: State of Delaware GLENN DUBIN ----------- c/o Highbridge Capital Management, LLC 9 West 57th Street, 27th Floor New York, New York 10019 Citizenship: United States HENRY SWIECA ------------ c/o Highbridge Capital Management, LLC 9 West 57th Street, 27th Floor New York, New York 10019 Citizenship: United States Due to a change in the reporting structure of Highbridge Capital Management, LLC, Highbridge Master L.P., Highbridge Capital Corporation, Highbridge Capital L.P., Highbridge GP, Ltd. and Highbridge GP, LLC, are no longer Reporting Persons. 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: CUSIP No. 86126T203 13G/A Page 8 of 11 Pages As of the date of this filing, each of Smithfield Fiduciary LLC, Highbridge International LLC, Highbridge Capital Management, LLC, Glenn Dubin and Henry Swieca (collectively, the "Reporting Persons") may be deemed the beneficial owner of the 692,069 shares of Common Stock owned by Smithfield Fiduciary LLC and the 1,207,969 shares of Common Stock issuable to Smithfield Fiduciary LLC upon exercise of the Warrants. Smithfield Fiduciary LLC is a wholly-owned subsidiary of Highbridge International LLC. Highbridge Capital Management, LLC is the trading manager of Smithfield Fiduciary LLC and Highbridge International LLC. Glenn Dubin is the Chief Executive Officer of Highbridge Capital Management, LLC. Henry Swieca is the Chief Investment Officer of Highbridge Capital Management, LLC. The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of Common Stock owned by another Reporting Person. In addition, each of Highbridge Capital Management, LLC, Glenn Dubin and Henry Swieca disclaims beneficial ownership of Common Stock owned by Smithfield Fiduciary LLC. (b) Percent of class: The Company's Quarterly Report on Form 10-QSB for the quarterly period ended September 30, 2007 filed on November 14, 2007, indicates there were 38,098,177 shares of Common Stock outstanding as of November 14, 2007. Therefore, based on the Company's outstanding Common Stock, each of the Reporting Persons may be deemed to beneficially own 4.83% of the outstanding Common Stock of the Company. The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of Common Stock owned by another Reporting Person. (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 See Item 4(a) (iii) Sole power to dispose or to direct the disposition of 0 (iv) Shared power to dispose or to direct the disposition of See Item 4(a) 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: [X] CUSIP No. 86126T203 13G/A Page 9 of 11 Pages Item 10. Certification By signing below each of the undersigned certifies that, to the best of its 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. Exhibits: Exhibit I: Joint Filing Agreement, dated as of January 30, 2007, by and among Smithfield Fiduciary LLC, Highbridge International LLC, Highbridge Capital Management, LLC, Glenn Dubin and Henry Swieca. CUSIP No. 86126T203 13G/A Page 10 of 11 Pages SIGNATURES After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct. Dated: January 30, 2008 HIGHBRIDGE INTERNATIONAL LLC SMITHFIELD FIDUCIARY LLC By: Highbridge Capital Management, LLC its Trading Manager By: Highbridge Capital Management, LLC Its Trading Manager By: /s/ Noah Greenhill ------------------ Name: Noah Greenhill By: /s/ Noah Greenhill Title: Managing Director --------------------------- Name: Noah Greenhill Title: Managing Director HIGHBRIDGE CAPITAL MANAGEMENT, LLC /s/ Henry Swieca -------------------------------- HENRY SWIECA By: /s/ Noah Greenhill - ------------------------ Name: Noah Greenhill Title: Managing Director /s/ Glenn Dubin - ------------------------- GLENN DUBIN CUSIP No. 86126T203 13G/A Page 11 of 11 Pages EXHIBIT I JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the Common Stock, $0.001 par value, of StockerYale, Inc., is being filed, and all amendments thereto will be filed, on behalf of each of the persons and entities named below in accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. Dated as of January 30, 2008 HIGHBRIDGE INTERNATIONAL LLC SMITHFIELD FIDUCIARY LLC By: Highbridge Capital Management, LLC its Trading Manager By: Highbridge Capital Management, LLC Its Trading Manager By: /s/ Noah Greenhill ------------------ Name: Noah Greenhill By: /s/ Noah Greenhill Title: Managing Director --------------------------- Name: Noah Greenhill Title: Managing Director HIGHBRIDGE CAPITAL MANAGEMENT, LLC /s/ Henry Swieca --------------------------- HENRY SWIECA By: /s/ Noah Greenhill ------------------------ Name: Noah Greenhill Title: Managing Director /s/ Glenn Dubin - ------------------------------- GLENN DUBIN -----END PRIVACY-ENHANCED MESSAGE-----