0001683168-19-001918.txt : 20190617 0001683168-19-001918.hdr.sgml : 20190617 20190617161529 ACCESSION NUMBER: 0001683168-19-001918 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190617 DATE AS OF CHANGE: 20190617 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Optex Systems Holdings Inc CENTRAL INDEX KEY: 0001397016 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-84853 FILM NUMBER: 19901560 BUSINESS ADDRESS: STREET 1: 1420 PRESIDENTIAL DRIVE CITY: RICHARDSON STATE: TX ZIP: 75081 BUSINESS PHONE: 972-764-5700 MAIL ADDRESS: STREET 1: 1420 PRESIDENTIAL DRIVE CITY: RICHARDSON STATE: TX ZIP: 75081 FORMER COMPANY: FORMER CONFORMED NAME: Sustut Exploration Inc DATE OF NAME CHANGE: 20070419 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Fields Ephraim G CENTRAL INDEX KEY: 0001510865 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 265 EAST 66TH STREET STREET 2: #41A CITY: NEW YORK STATE: NY ZIP: 10065 FORMER COMPANY: FORMER CONFORMED NAME: Fields ephraim DATE OF NAME CHANGE: 20110121 SC 13G/A 1 fields_sc13ga.htm SCHEDULE 13G AMENDMENT

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934
(Amendment No. 3)*

 

OPTEX SYSTEMS HOLDINGS, INC.

 

(Name of Issuer)

 

COMMON STOCK, PAR VALUE $0.001

 

(Title of Class of Securities)

 

68384X209

 

(CUSIP Number)

 

Ephraim Fields

c/o Echo Lake Capital

501 Madison Avenue, Floor 12A

New York, NY 10022

 

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

June 17, 2019

 

(Date of Event which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o  Rule 13d-1(b)
x  Rule 13d-1(c)
o  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 disclosures provided in a prior cover page.

 

T he 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. 000000000   13G   Page 2 of 5 Pages
         

 

         
1.   NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

Ephraim Fields
   
2.   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)    
¨
(b)    
¨
   
3.   SEC USE ONLY
 
   
4.   CITIZENSHIP OR PLACE OF ORGANIZATION
 
USA
   

 

         
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH   5.   SOLE VOTING POWER
 
1,179,174
  6.   SHARED VOTING POWER
 
0
  7.   SOLE DISPOSITIVE POWER
 
1,179,174
  8.   SHARED DISPOSITIVE POWER
 
0

 

         
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,179,174
   
10.   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions)    
¨
   
11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

14.1%
   
12.   TYPE OF REPORTING PERSON (see instructions)

IN
   
         

 

 

 

   

 

 

         
CUSIP No. 000000000   13G   Page 3 of 5 Pages
         

Item 1.

  (a) Name of Issuer
Optex Systems Holdings, Inc.
     
  (b) Address of Issuer’s Principal Executive Offices
1420 Presidential Drive, Richardson, TX 75081
     

Item 2.

  (a) Name of Person Filing
Ephraim Fields
     
  (b)

Address of the Principal Office or, if none, residence
c/o Echo Lake Capital

501 Madison Avenue, Floor 12A

New York, NY 10022

     
  (c) Citizenship
USA
     
  (d) Title of Class of Securities
COMMON STOCK, PAR VALUE $0.001
     
  (e) CUSIP Number
68384X209
     

 

Item 3.  If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

  (a) ¨ Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
       
  (b) ¨ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
       
  (c) ¨ Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
       
  (d) ¨ Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
       
  (e) ¨ An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
       
  (f) ¨ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
       
  (g) ¨ A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
       
  (h) ¨ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
       
  (i) ¨ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
       
  (j) ¨ Group, in accordance with §240.13d-1(b)(1)(ii)(J).
       

 

 

 

 

   

 

 

CUSIP No. 000000000   13G   Page 4 of 5 Pages
         

 

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:  1,179,174
         
  (b)   Percent of class:  14.1%
         
  (c)   Number of shares as to which the person has:  
         
      (i) Sole power to vote or to direct the vote  1,179,174
         
      (ii) Shared power to vote or to direct the vote  0
         
      (iii) Sole power to dispose or to direct the disposition of  1,179,174
         
      (iv)

Shared power to dispose or to direct the disposition of  0

 

Ownership percentages are based on 8,388,918 shares of common stock reported as outstanding as of May 13, 2019 in the Issuer’s Form 10-Q filed May 14, 2019.

         

Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).

 

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     ¨.

 

Instruction. Dissolution of a group requires a response to this item.

 

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.

       
  (a)   The following certification shall be included if the statement is filed pursuant to §240.13d-1(b):
         
      By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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.  
         
  (b)   The following certification shall be included if the statement is filed pursuant to §240.13d-1(c):
         
      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.  
         

 

   

 

 

 

         
CUSIP No. 000000000   13G   Page 5 of 5 Pages
         

 

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.

 

 

6/17/2019

Date

 

/s/ Ephraim Fields

Signature

 

Ephraim Fields

Individual