-----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, MwUJgvUUMeGXlF+MLpxQWdKbwcS6r4O1VqDow03g48VgNKK1W84wpTWVXNqNiLKA JlRGaivlPBuncTugWnwnJg== 0000950147-99-001072.txt : 19991228 0000950147-99-001072.hdr.sgml : 19991228 ACCESSION NUMBER: 0000950147-99-001072 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990923 DATE AS OF CHANGE: 19990928 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ARIZONA INSTRUMENT CORP CENTRAL INDEX KEY: 0000724904 STANDARD INDUSTRIAL CLASSIFICATION: 3823 IRS NUMBER: 860410138 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-34578 FILM NUMBER: 99717852 BUSINESS ADDRESS: STREET 1: 4114 E WOOD ST CITY: PHOENIX STATE: AZ ZIP: 85040 BUSINESS PHONE: 6024701414 MAIL ADDRESS: STREET 1: 4114 E WOOD STREET CITY: PHOENIX STATE: AZ ZIP: 85040 FORMER COMPANY: FORMER CONFORMED NAME: QUINTEL CORP DATE OF NAME CHANGE: 19870329 FORMER COMPANY: FORMER CONFORMED NAME: COMPUTRAC INSTRUMENTS INC DATE OF NAME CHANGE: 19840613 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN HERBERT WILLIAM III CENTRAL INDEX KEY: 0001095592 STANDARD INDUSTRIAL CLASSIFICATION: FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 210 SOUTH FOURTH AVENUE CITY: PHOENIX STATE: AZ ZIP: 85003 MAIL ADDRESS: STREET 1: 210 SOUTH FOURTH AVENUE CITY: PHOENIX STATE: AZ ZIP: 85003 SC 13D 1 SCHEDULE 13D OF HERBERT MORGAN ------------------------------------ OMB APPROVAL ------------------------------------ OMB Number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours to perform.......... 14.90 ------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* ARIZONA INSTRUMENT CORPORATION ------------------------------ (Name of Issuer) Common Stock, $.01 par value per share -------------------------------------- (Title of Class of Securities) 040903205 -------------- (CUSIP Number) Linda Shepherd Arizona Instrument Corporation 1912 W. 4th St. Tempe, AZ 85281 ------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 13, 1999 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. - - - ---------- * 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. 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). SCHEDULE 13D - - - --------------------- ----------------- CUSIP NO. 040903205 PAGE 2 OF 4 PAGES - - - --------------------- ----------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Herbert William Morgan III - - - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - - - -------------------------------------------------------------------------------- 3. SEC USE ONLY - - - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS PF - - - -------------------------------------------------------------------------------- 5. CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - - - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - - - -------------------------------------------------------------------------------- NUMBER OF 7. SOLE VOTING POWER SHARES 80,100 BENEFICIALLY ----------------------------------------------------------------- OWNED 8. SHARED VOTING POWER BY EACH ----------------------------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON 80,100 WITH ----------------------------------------------------------------- 10. SHARED DISPOSITIVE POWER - - - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 80,100 - - - -------------------------------------------------------------------------------- 12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - - - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.87686% - - - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON IN - - - -------------------------------------------------------------------------------- SCHEDULE 13D - - - --------------------- ----------------- CUSIP NO. 040903205 PAGE 3 OF 4 PAGES - - - --------------------- ----------------- ITEM 1. SECURITY AND ISSUER. This statement relates to the Common Stock, par value $.01 per share (the "Common Stock"), of Arizona Instrument Corporation, a Delaware corporation (the "Company"), whose principal executive offices are located at 1912 W. 4th St., Tempe, Arizona 85281. ITEM 2. IDENTITY AND BACKGROUND. The name, address, and background information for the person filing this statement is as follows: (a) Name: Herbert W. Morgan III (b) Residence Address: 6037 E. Jenan Drive Scottsdale, AZ 85254 (c) Principal Business: Senior Vice President, Director of Sales Pilgrim Securities 40 North Central Ave., Suite 1200 Phoenix, AZ 85004 (d) Criminal proceedings within last five years: None. (e) Civil proceedings within last five years: None. (f) Citizenship: U.S.A. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. Between August 26, 1999 and September 16, 1999, Mr. Morgan acquired 80,100 shares shares of Common Stock (the "Acquired Stock") through the open market for $316,081.89. Before August 26, 1999, Mr. Morgan did not beneficially own any shares of Common Stock. The source of funds Mr. Morgan used to purchase the Acquired Stock came solely from his personal funds. Mr. Morgan did not borrow any funds to purchase, or in anticipation of purchasing, the Acquired Stock. ITEM 4. PURPOSE OF TRANSACTION. Mr. Morgan's purpose in purchasing the Acquired Stock is personal investment. Mr. Morgan plans to continue purchasing Common Stock using personal funds through open market transactions. Mr. Morgan has requested that he be elected to the Company's Board of Directors. SCHEDULE 13D - - - --------------------- ----------------- CUSIP NO. 040903205 PAGE 4 OF 4 PAGES - - - --------------------- ----------------- ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) The Company had 1,362,971 shares of Common Stock currently outstanding. As of September 16, 1999, Herbert W. Morgan owns 80,100 shares of Common Stock, which is 5.87686% of the Company's current outstanding Common Stock shares. (b) Herbert W. Morgan has the sole power to vote all 80,100 shares listed in section (a) of Item 5 above. (c) Between August 26, 1999 and September 13, 1999, Mr. Morgan purchased 70,100 shares of Common Stock through of series of transactions. All 70,100 were purchased through the open market at a price ranging from $3.50 to $5.50 per share. Further, Mr. Morgan effected three additional transactions. On September 14, 1999 Mr. Morgan purchased 500 shares of Common Stock through the open market for $5.00 per share. On September 15, 1999 Mr. Morgan purchased 8,500 shares of Common Stock through the open market for $4.971 per share. On September 16, 1999 Mr. Morgan purchased 1,000 shares of Common Stock through the open market for $4.50 per share. Through the above transactions, Mr. Morgan acquired a total of 80,100 shares of Common Stock between August 26, 1999 and September 16, 1999. (d) Not applicable. (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. Not applicable. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. None. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Schedule 13D is true, complete, and correct. Dated: September 21, 1999 /s/ Herbert William Morgan III ---------------------------------------- Herbert William Morgan III ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) -----END PRIVACY-ENHANCED MESSAGE-----