FORM D OMB APPROVAL
--------------------------
OMB Number: 3235-0076
Expires: March 31, 1991
Estimated average burden
hours eresponse . . .16.00
--------------------------
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D
NOTICE OF SALE OF SECURITIES
PURSUANT TO REGULATION D,
SECTION 4(6), AND/OR
UNIFORM LIMITED OFFERING EXEMPTION
Name of Offering [ ] check if this is an amendment and name has changed, and
indicate change.) ICON ACQUISITION CORP.
--------------------------------------------------------------------------------
Filing Under (Check box(es) that apply): [X] Rule 504 [ ] Rule 505 [ ] Rule 506
[ ] Section 4(6) [ ] ULOE
--------------------------------------------------------------------------------
Type of Filing: [ ] New Filing [x] Amendment
--------------------------------------------------------------------------------
A. BASIC IDENTIFICATION DATA
--------------------------------------------------------------------------------
1. Enter the information requested about the issuer
--------------------------------------------------------------------------------
Name of Issuer ([ ] check if this is an amendment and name has changed, and
indicate change.)
ICON ACQUISITION CORP.
--------------------------------------------------------------------------------
Address of Executive Offices
(Number and Street, City,State, Zip Code) Telephone Number (Including Area Code)
2541 MONROE AVE SUITE 301 ROCHESTER, NY 14618 716-244-1840
--------------------------------------------------------------------------------
Address of Principal Business Operations
(Number and Street, City,State, Zip Code) Telephone Number (Including Area Code)
(if different from Executive Offices)
--------------------------------------------------------------------------------
Brief Description of Business
TUNGSTEN MINING
--------------------------------------------------------------------------------
Type of Business Organization
[X] corporation [ ] limited partnership, already formed
[ ] other (please specify): [ ] business trust
[ ] limited partnership, to be formed
--------------------------------------------------------------------------------
Month Year
----- ----
Actual or Estimated Date of Incorporation or Organization: 11 1994
[X] Actual [ ] Estimated
Jurisdiction of Incorporation or Organization: (Enter two-letter U.S. Postal
Service abbreviation for State:CN for Canada; FN for other foreign jurisdiction)
NY
--------------------------------------------------------------------------------
GENERAL INSTRUCTIONS
Federal:
Who Must File: All issuers making an offering of securities in reliance on an
exemption under Regulation D or Section 4(6), 17 CFR 230.501 et scq. or 15
U.S.C. 77d(6).
When To File: A notice must be filed no later than IS days after the first salt
of securities in the offering. A notice is deemed filed with the U.S. Securities
and Exchange Commission (SEC) on the earlier of the date it is received by the
SEC at the address given below or, if received at that address after the daft on
which it is due, on the date it was mailed by United States registered or
certified mail to that address.
Where To File: U.S. Securities and Exchange Commission, 450 Fifth Street, N.W.,
Washington, D.C. 20549.
Copies Required: Five (5) copies of this notice must be filed with the SEC, one
of which must be manually signed. Any topics not manually signed must be
photocopies of the manually signed copy or bear typed or printed signatures.
Information Required: A new filing must contain all information requested.
Amendments need only report the name of the issuer and offering, any change
thereto, the information requested in Part C, and any material changes from the
information previously supplied in Parts A and B. Part E and the Appendix need
not be filed with the SEC.
Filing Fee: There is no federal filing fee.
State:
This notice shall be used to indicate reliance on the Uniform Limited Offering
Exemption (ULOE) for salts of securities in those states that have adopted ULOE
and that have adopted this form. Issuers relying on ULOE must Flea separate
notice with the Securities Administrator in the state where sales are to be, or
have been made. If a state requires the payment of a fee as a precondition to
the claim for the exemption, a fee in the proper amount shall accompany this
form. This notice shall be filed in the appropriate states in accordance with
state law. The Appendix to the notice constitutes a part of this notice and must
be completed.
================================================================================
ATTENTION
Failure to file notice in the appropriate states will not result in a loss of
the federal exemption. Conversely, failure to tile the appropriate federal
notice will not result in a loss of an available state exemption unless such
exemption is predicated on the filing of a federal notice.
================================================================================
<PAGE>
--------------------------------------------------------------------------------
A BASIC IDENTIFICATION DATA
--------------------------------------------------------------------------------
2. Enter the information requested For the following:
o Each promoter of the issuer, if the issuer has been organized within the
past five years;
o Each beneficial owner having the power to vote or dispose, or direct the
vote or disposition of, 10% or more of a class of equity securities of
the issuer;
o Each executive officer and director of corporate issuers and of
corporate general and managing partners of partnership issuers; and
o Each general and managing partner of partnership issuers.
--------------------------------------------------------------------------------
Check Box(es)that Apply: [ ] Promoter [X] Beneficial Owner
[X] Executive Officer [X] Director [ ] General and/or Managing Partner
--------------------------------------------------------------------------------
Full Name (Last name first, if individual)
DIAMOND MORRIS
--------------------------------------------------------------------------------
Business or Residence Address (Number and Street, City. State. Zip Code)
105 SOUTHERN PARKWAY ROCHESTER, NEW YORK 14618
--------------------------------------------------------------------------------
Check Box(es)that Apply: [ ] Promoter [X] Beneficial Owner
[X] Executive Officer [X] Director [ ] General and/or Managing Partner
--------------------------------------------------------------------------------
Full Name (Last name first, if individual)
DIAMOND SHIRLEY
--------------------------------------------------------------------------------
Business or Residence Address (Number and Street, City. State. Zip Code)
105 SOUTHERN PARKWAY ROCHESTER, NEW YORK 14618
--------------------------------------------------------------------------------
Check Box(es)that Apply: [ ] Promoter [X] Beneficial Owner
[X] Executive Officer [X] Director [ ] General and/or Managing Partner
--------------------------------------------------------------------------------
Full Name (Last name first, if individual)
LUXENBERG SUZANNE
--------------------------------------------------------------------------------
Business or Residence Address (Number and Street, City. State. Zip Code)
20 CASTLEBAR ROAD ROCHESTER, NEW YORK 14610
--------------------------------------------------------------------------------
Check Box(es)that Apply: [ ] Promoter [X] Beneficial Owner
[ ] Executive Officer [ ] Director [ ] General and/or Managing Partner
--------------------------------------------------------------------------------
Full Name (Last name first, if individual)
SOUTHWARD INVESTMENT
--------------------------------------------------------------------------------
Business or Residence Address (Number and Street, City. State. Zip Code)
2541 MONROE AVE. ROCHESTER, NEW YORK 14618
--------------------------------------------------------------------------------
Check Box(es) that Apply: [ ] Promoter [X] Beneficial Owner
[ ] Executive Officer [ ] Director [ ] General and/or Managing Partner
--------------------------------------------------------------------------------
Full Name (Last name first, if individual)
TRAMDOT DEVELOPMENT CORP.
--------------------------------------------------------------------------------
Business or Residence Address (Number and Street, City. State. Zip Code)
2541 MONROE AVE. ROCHESTER, NEW YORK 14618
--------------------------------------------------------------------------------
Check Box(es)that Apply: [ ] Promoter [X] Beneficial Owner
[ ] Executive Officer [ ] Director [ ] General and/or Managing Partner
--------------------------------------------------------------------------------
Full Name (Last name first, if individual)
LIVINGSTON REALTY
--------------------------------------------------------------------------------
Business or Residence Address (Number and Street, City. State. Zip Code)
105 SOUTHERN PARKWAY ROCHESTER, NEW YORK 14618
--------------------------------------------------------------------------------
<PAGE>
--------------------------------------------------------------------------------
INFORMATION ABOUT OFFERING
1. Has the issuer sold, or does the issuer intend to sell, to non-accredited
investors in this offering? . . . . . . . . . [X] Yes [ ] No
Answer also in Appendix. Column 2, if filing under ULOE.
2. What is the minimum investment that will be accepted from any individual?
$ .10
3. Does the offering permit joint ownership of a single unit? [X] Yes [ ] No
4. Enter the information requested for each person who has been or will be paid
or given, directly or indirectly, any commission or similar remuneration for
solicitation of purchasers in connection with salts of securities in the
offering. If a person to be listed is an associated person or agent of a
broker or dealer registered with the SEC and/or with a state or states, list
the name of the broker or dealer. If more than five (S) persons to be listed
arc associated persons of such a broker or dealer, you may set forth the
information for that broker or dealer only..
--------------------------------------------------------------------------------
Full Name (Last name first, if individual)
--------------------------------------------------------------------------------
Business or Residence Address (Number and Street, City, State, Zip Code)
--------------------------------------------------------------------------------
Name of Associated Broker or Dealer
--------------------------------------------------------------------------------
States in Which Person Listed Has Solicited or Intends to Solicit Purchasers
(Check "All States" or check individual States) [ ]All States
<TABLE>
<CAPTION>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
[AL] [AK] [AZ] [AR] [CA] [CO] [CT] [DE] [DC] [FL] [GA] [HI] [ID]
[IL] [IN] [IA] [KS ] [KY] [LA] [ME] [MD] [MA] [MI] [MN] [MS] [MO]
[MT] [NE] [NV] [NH] [NJ] [NM] [NY] [NC] [ND] [OH] [OK] [OR] [PA]
[RI] [SC] [SD] [TN] [TX] [UT] [VT] [VA] [WA] [WV] [WI] [WY] [PR]
</TABLE>
--------------------------------------------------------------------------------
(Use blank sheet,or copy and use additional topics of this sheet, as necessary.)
3 of 8
<PAGE>
--------------------------------------------------------------------------------
OFFERING PRICE, NUMBER OF INVESTORS, EXPENSES AND USE OF PROCEEDS
--------------------------------------------------------------------------------
1. Enter the aggregate offering price of securities includcd in this offering
and the total amount already sold. Enter "0" if answer is "none" or "zero."
If the transaction is an exchange offering, check this box and indicate in
the columns below the amounts of the securities offered for exchange and
already exchanged.
<TABLE>
<CAPTION>
Aggregate Amount Alrcadv
Type of Security Offering Pricc Sold
---------------- -------------- ----
<S> <C> <C>
Debt $ .00 $ .00
Equity EXCHANGE OF 8,573,337 COMMON SHARES $ 8,573.37 $ 8,573.37
[X] Common [ ] Preferred
Convertible Securities (including warrants) $ .00 $ .00
Partnership Interests $ .00 $ .00
Other (Specify) $ .00 $ .00
Total $ 8,573.37 $ 8,573.37
</TABLE>
Answer also in Appendix, Column 3. if filing under ULOE.
2. Enter the numbcr of accredited and non-accredited investors vho have
purchased securities in this offering and the aggregate dollar amounts of
their purchases. For offerings under Rule 504, indicate the numbcr of persons
who have purchased securities and the aggregate dollar amount of their
purchases on the total lines. Enter "0" if answer is "none" or "zero."
Aggregate
Number Dollar Amount
Investors of Purchases
--------- ------------
Accredited Investors 0 $ .00
Non-accredited Investors 1081 $ 8,573.37
Total (for filings under Rule 504 only) 1081 $ 8,573.37
Answer also in Appendix, Column 4, if filing under ULOE.
3. If this filing is for an offering under Rule 504 or 505, enter the
information requested for all securities sold by the issuer, to date, in
offerings of the types indicated, in the twelve (12) months prior to the
first sale of securities in this offering. Classify securities by type listed
in Part C - Question 1.
Type of Dollar Amount
Type of offering. Security Sold
----------------- -------- ----
Rule 505 -- $ .00
Regulation A -- $ .00
Rule 504 common $ 8,573.37
Total common $ 8,573.37
4. a. Furnish a statement of all expenses in connection with the issuance and
distribution of the securities in this offering. Exclude amounts relating
solely to organization expenses of the issuer. The information may be given
as subject to future contingencies. If the amount of an expenditure is not
known, furnish an estimate and check the box to the left of the estimate. .
Transfer Agent's Fees $ .00
Printing and Engraving Costs $ 2,500.00
Legal Fees $ 1,900.00
Accounting Fees $ 1,500.00
Engineering Fees $ .00
Sales Commissions (specify finders' fees separately) $ .00
Other Expenses (identify) PRINTING & MAILING $ 2,300.00
Total $ 8,200.00
<PAGE>
--------------------------------------------------------------------------------
OFFERING PRICE, NUMBER OF INVESTORS, EXPENSES AND USE OF PROCEEDS
--------------------------------------------------------------------------------
b. Enter the difference between the aggregate offering price given in response
to Pan C - Question 1 and total expenses furnished in response to Part C -
Question 4.a. This difference is the "adjusted gross proceeds to the issuer.
$ 373.37
Indicate below the amount of the adjusted gross proceeds to the issuer used or
proposed to be used for each of the purposes shown. 1f the amount for any
purpose is not known, furnish an estimate and check the box to the left of the
estimate. The total of the payments listed must equal the adjusted gross
proceeds to the issuer set forth in response to Part C - Question 4.b above.
Payments to
Officers,
Directors, & Payments To
Affiliates Others
---------- ------
Salaries and fees $ .00 $ .00
Purchase of real estate $ .00 $ .00
Purchase, rental or leasing
and installation of machinery
and equipment $ .00 $ .00
Construction or leasing of
plant buildings and facilities $ .00 $ .00
Acquistion of other businesses
(including the value of securities
involved in this offering that may
be used in exchange for the assets
or securities of another issuer
pursuant to a merger) $ .00 $ .00
Repayment of indebtedness $ .00 $ .00
Working capital $ .00 $ 373.37
Other (specify) $ .00 $ .00
Column totals $ .00 $ 373.37
Total Payments Listed
(column totals added) $ 373.37
--------------------------------------------------------------------------------
D. FEDERAL SIGNATURE
--------------------------------------------------------------------------------
The issuer has duly caused this notice to be signed by the undersigned duly
authorizcd person. If this notice is filed under Rule 505, the following
signature constitutes an undertaking by the issuer to furnish to the U.S.
Securities and Exchange Commission, upon written request of its staff, the
information furnished by the issuer to any non-accredited investor pursuant
to paragraph (b)(2) of Rule 502.
--------------------------------------------------------------------------------
Issuer (Print or Type) Signature Date
ICON ACQUISITION CORP. By: /s/ Morris Diamond 10/01/96
----------------------
Morris Diamond
--------------------------------------------------------------------------------
Name of Signer (Print or Type) Title (Print or Type)
MORRIS DIAMOND PRESIDENT
--------------------------------------------------------------------------------
================================================================================
ATTENTION
Intentional misstatements or omissions of fact constitute federal criminal
violations. (See 18 U.S.C 1001)
================================================================================
5 of 8
<PAGE>
--------------------------------------------------------------------------------
E. STATE SIGNATURE
--------------------------------------------------------------------------------
1. Is any party described in 17 CFR 230.252(c), (d), (e) or (f) presently
subject to any of the disqualification provisions of such rule? [ ]Yes [X]No
Sec Appendix, Column 5, for state response.
2. The undersigned issuer hereby undertakes to furnish to any state
administrator of any state in which this notice is filed, a notice on Form D
(17 CFR 239.500) at such times as required by state law.
3. The undersigned issuer hereby undertakes to furnish to the state
administrators, upon written request, information furnished by the issuer to
offerees.
4. The undersigned issuer represents that the issuer is familiar with the
conditions that must be satisfied to be entitled to the Uniform limited
Offering Exemption (ULOE) of the state in which this notice is filed and
understands that the issuer claiming the availability of this exemption has
the burden of establishing that these conditions have been satisfied.
The issuer has read this notification and knows the contents to be true and has
duly caused this notice to be signed on its behalf by the undersigned duly
authorized person.
--------------------------------------------------------------------------------
Issuer (Print or Type) Signature Date
ICON ACQUISITION CORP. By: /s/ Morris Diamond 10/01/96
----------------------
Morris Diamond
--------------------------------------------------------------------------------
Name of Signer (Print or Type) Title (Print or Type)
MORRIS DIAMOND PRESIDENT
--------------------------------------------------------------------------------
Instruction:
Print the name and title of the signing representative under his signature for
the state portion of this form. One copy of every notice on Form D must be
manually signed. Any copies not manually signed must be photocopies of the
manually signed copy or bear typed or printed signatures.
<PAGE>
APPENDIX
<TABLE>
<CAPTION>
1 2 3 4 5
Disqualifications
Type of security under State ULOE
Intend to sell and aggregate (if yes, attach
to non-accredited offering price Type of investor and explanation of
investors in State offered in state amount purchased in State waiver granted
(Part B-Item 1) (Part C-Iteml) (Part C-Item 2) (Part E-Iteml)
---------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Number of Number of
Accredited Non-Accredited
State Yes No COMMON Investors Amount Investors Amount Yes No
=================================================================================================================================
AL NO
------------------------------------------------------------------------------------------------------------------
AK NO
------------------------------------------------------------------------------------------------------------------
AZ N0 3 .37 N0
------------------------------------------------------------------------------------------------------------------
AR NO
------------------------------------------------------------------------------------------------------------------
CA NO 12 3.24 NO
-----------------------------------------------------------------------------------------------------------------
CO NO 4 .40 NO
------------------------------------------------------------------------------------------------------------------
CT N0 9 3.02 N0
------------------------------------------------------------------------------------------------------------------
DE NO
------------------------------------------------------------------------------------------------------------------
DC NO
------------------------------------------------------------------------------------------------------------------
FL NO 46 17.38 NO
------------------------------------------------------------------------------------------------------------------
GA NO 1 .10 NO
------------------------------------------------------------------------------------------------------------------
HI NO
------------------------------------------------------------------------------------------------------------------
ID NO
------------------------------------------------------------------------------------------------------------------
IL NO 2 4.35 NO
------------------------------------------------------------------------------------------------------------------
IN N0
------------------------------------------------------------------------------------------------------------------
IA NO
------------------------------------------------------------------------------------------------------------------
KS NO
------------------------------------------------------------------------------------------------------------------
KY NO 2 .43 NO
------------------------------------------------------------------------------------------------------------------
LA NO
------------------------------------------------------------------------------------------------------------------
ME NO
------------------------------------------------------------------------------------------------------------------
MD NO 7 1.59 NO
------------------------------------------------------------------------------------------------------------------
MA NO 12 11.50 NO
------------------------------------------------------------------------------------------------------------------
MI
------------------------------------------------------------------------------------------------------------------
MN
------------------------------------------------------------------------------------------------------------------
MS
------------------------------------------------------------------------------------------------------------------
MO NO 2 1.11 NO
------------------------------------------------------------------------------------------------------------------
</TABLE>
7
<PAGE>
APPENDIX
<TABLE>
<CAPTION>
1 2 3 4 5
Disqualifications
Type of security under State ULOE
Intend to sell and aggregate (if yes, attach
to non-accredited offering price Type of investor and explanation of
investors in State offered in state amount purchased in State waiver granted
(Part B-Item 1) (Part C-Iteml) (Part C-Item 2) (Part E-Iteml)
-------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Number of Number of
Accredited Non-Accredited
State Yes No COMMON Investors Amount Investors Amount Yes No
=========================================================================================================================
MT NO
------------------------------------------------------------------------------------------------------------------
NE NO
------------------------------------------------------------------------------------------------------------------
NV N0 1 .10 N0
------------------------------------------------------------------------------------------------------------------
NH NO 1 .10 NO
------------------------------------------------------------------------------------------------------------------
NJ NO 18 4.94 NO
-----------------------------------------------------------------------------------------------------------------
NM NO
------------------------------------------------------------------------------------------------------------------
NY N0 916 8,271.50 N0
------------------------------------------------------------------------------------------------------------------
NC NO 1 .10 NO
------------------------------------------------------------------------------------------------------------------
ND NO
------------------------------------------------------------------------------------------------------------------
OH NO 8 126.35 NO
------------------------------------------------------------------------------------------------------------------
OK NO 1 .43 NO
------------------------------------------------------------------------------------------------------------------
OR NO 1 .10 NO
------------------------------------------------------------------------------------------------------------------
PA NO 14 5.63 NO
------------------------------------------------------------------------------------------------------------------
RI NO 1 .10 NO
------------------------------------------------------------------------------------------------------------------
SC N0 1 .10 N0
------------------------------------------------------------------------------------------------------------------
SD NO
------------------------------------------------------------------------------------------------------------------
TN NO 1 .10 NO
------------------------------------------------------------------------------------------------------------------
TX NO 5 1.35 NO
------------------------------------------------------------------------------------------------------------------
UT NO
------------------------------------------------------------------------------------------------------------------
VT NO 1 .10 NO
------------------------------------------------------------------------------------------------------------------
VA NO 2 4.42 NO
------------------------------------------------------------------------------------------------------------------
WA NO 4 108.01 NO
------------------------------------------------------------------------------------------------------------------
WV NO
------------------------------------------------------------------------------------------------------------------
WI NO
------------------------------------------------------------------------------------------------------------------
WY N0
------------------------------------------------------------------------------------------------------------------
PR NO
------------------------------------------------------------------------------------------------------------------
</TABLE>
