-----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, GWs0+Jvrsg+0we+4dQhlY9614Qa+vY0KZPxHbaCxixIXTCF06T8SS4CGmUFTiOJX UiRCYN7QUeWa2/xDQe7q7A== 0000912057-97-010409.txt : 19970328 0000912057-97-010409.hdr.sgml : 19970328 ACCESSION NUMBER: 0000912057-97-010409 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970327 SROS: NONE 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: 1934 Act SEC FILE NUMBER: 005-47779 FILM NUMBER: 97564688 BUSINESS ADDRESS: STREET 1: 32 HAMPSHIRE ROAD CITY: SALEM STATE: NH ZIP: 03079 BUSINESS PHONE: 5082843248 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRAINER WORTHAM & CO INC CENTRAL INDEX KEY: 0000099023 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 013177233 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 845 THIRD AVE STREET 2: 6FH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127597755 MAIL ADDRESS: STREET 1: 845 THIRD AVE STREET 2: 6TH FL CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: TRAINER WORTHAM & GREENMAN INC DATE OF NAME CHANGE: 19600201 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ------ STOCKER & YALE ---------------------------------- (Name of Issuer) COMMON STOCK ---------------------------------- (Title of Class of Securities) 86126T203 ---------------------------------- (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 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 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). (Continued on following page(s)) Page 1 of Pages --- CUSIP No. 86126T203 13G Page of Pages --------- --- --- TRAINER, WORTHAM & CO. INC. Fed. I.D. 13-3584934 - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization USA - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 177,354 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power -------------------------------------------------- (7) Sole Dispositive Power 177,354 -------------------------------------------------- (8) Shared Dispositive Power - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 177,354 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 6.9% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IV - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page of Pages --- --- ITEM 1(A). NAME OF ISSUER STOCKER & YALE - ------------------------------------------------------------------------------- ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 32 HAMPSHIRE ROAD, SALEM, NEW HAMPSHIRE, 03079 USA - ------------------------------------------------------------------------------- ITEM 2(A). NAME OF PERSON(S) FILING TRAINER, WORTHAM & CO. INC. - ------------------------------------------------------------------------------- ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 845 3RD AVENUE, NEW YORK, NY 10022 USA - ------------------------------------------------------------------------------- ITEM 2(C). CITIZENSHIP USA - ------------------------------------------------------------------------------- ITEM 2(D). TITLE OF CLASS OF SECURITIES 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), 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 (e) /X/ Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) / / Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F) (g) / / Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G) (Note: See Item 7) (h) / / Group, in accordance with Rule 13d-1(b)(1)(ii)(H) Page of Pages --- --- ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 177,354 --------------------------------------------------------------------------- (b) Percent of Class: 6.9% --------------------------------------------------------------------------- (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 177,354 ----------------------------------------------------------------- (ii) shared power to vote or to direct the vote ----------------------------------------------------------------- (iii) sole power to dispose or to direct the disposition of 177,354 ----------------------------------------------------------------- (iv) shared power to dispose or to direct the disposition of ----------------------------------------------------------------- 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 - ------------------------------------------------------------------------------- ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY - ------------------------------------------------------------------------------- ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP - ------------------------------------------------------------------------------- ITEM 9. NOTICE OF DISSOLUTION OF GROUP - ------------------------------------------------------------------------------- ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 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. March 25, 1997 --------------------------------------------- (Date) A. Alexander Arnold III --------------------------------------------- (Signature) /s/ A. Alexander Arnold III Managing Director --------------------------------------------- (Name/Title) -----END PRIVACY-ENHANCED MESSAGE-----