SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549
SCHEDULE l3D
Under the Securities Exchange Act of 1934
(Amendment No. 20)*
ELECTROMAGNETIC SCIENCES, INC.
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(Name of Issuer)
Common Stock, par value $.10 per share
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(Title of Class of Securities)
285397105
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(CUSIP Number)
with a copy to:
David A. Rocker Robert G. Minion, Esq.
Suite 1759 Lowenstein, Sandler, Kohl,
45 Rockefeller Plaza Fisher & Boylan, P.A.
New York, New York 10111 65 Livingston Avenue
(212) 397-1220 Roseland, New Jersey 07068
(201) 992-8700
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(Name, Address and Telephone Number
of Person Authorized to Receive
Notices and Communications)
December 3, 1997
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(Date of Event which Requires Filing
of this Statement)
If the filing person has previously filed a statement on Schedule l3G 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 l3d-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).
CUSIP NO. 285397105
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1) Names of Reporting Persons (S.S. or I.R.S. Identification Nos. of Above
Persons):
David A. Rocker ###-##-####
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2) Check the Appropriate Box if a Member of a Group (See Instructions):
(a) Not
(b) Applicable
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3) SEC Use Only
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4) Source of Funds (See Instructions):WC
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5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d)
or 2(e):
Not Applicable
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6) Citizenship or Place of Organization:
United States
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Number of 7) Sole Voting Power: 0*
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Shares Beneficially 8) Shared Voting Power: 0
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Owned by
Each Reporting 9) Sole Dispositive Power: 0*
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Person With: 10) Shared Dispositive Power: 0
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11) Aggregate Amount Beneficially Owned by Each Reporting Person:
0*
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12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions):
Not Applicable
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13) Percent of Class Represented by Amount in Row
(11): 0%*
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14) Type of Reporting Person (See Instructions): IA, IN
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* As of December 3, 1997, the reporting person did not beneficially own
any shares of Electromagnetic Sciences, Inc. common stock. See Item 5 for
further details.
Item 5. Interest in Securities of the Issuer.
Based upon the information contained in Electromagnetic Sciences, Inc.'s
quarterly report on Form 10-Q for the quarterly period ended September 30, 1997,
there were issued and outstanding 8,616,185 shares of Electromagnetic Sciences,
Inc. common stock as of November 14, 1997. As of December 3, 1997, David Rocker
did not beneficially own any of such shares.
Prior to December 3, 1997, both Rocker Partners, L.P. and Compass Holdings,
Ltd. owned shares of Electromagnetic Sciences, Inc. common stock. David Rocker,
as the sole managing partner of Rocker Partners, L.P. and, through Rocker
Offshore Management Company, Inc., as the investment adviser to Compass
Holdings, Ltd., had sole power to vote and dispose of the shares of
Electromagnetic Sciences, Inc. common stock previously owned by Rocker Partners,
L.P. and Compass Holdings, Ltd. The following table details the transactions by
each of Rocker Partners, L.P. and Compass Holdings, Ltd. in shares of
Electromagnetic Sciences, Inc. common stock during the past 60 days:
A. Rocker Partners, L.P.
Date Quantity Price
(Purchases)
October 1, 1997 1,000 $28.250
October 7, 1997 4,000 $27.625
October 9, 1997 3,000 $26.692
October 9, 1997 4,300 $26.757
October 14, 1997 2,000 $26.344
October 15, 1997 4,000 $26.688
October 17, 1997 3,800 $26.375
October 20, 1997 2,500 $26.375
October 28, 1997 15,500 $18.720
November 4 1997 4,000 $19.000
November 6, 1997 900 $19.750
(Sales)
October 1, 1997 5,100 $28.250
October 16, 1997 1,600 $27.750
October 20, 1997 8,000 $27.000
October 21, 1997 21,500 $22.069
October 21, 1997 5,000 $22.625
November 5, 1997 3,900 $20.125
November 5, 1997 1,500 $20.000
November 6, 1997 7,100 $19.860
November 7, 1997 64,900 $19.743
November 10, 1997 5,000 $19.897
November 12, 1997 4,400 $20.000
November 12, 1997 23,700 $19.625
November 26, 1997 38,650 $17.875
B. Compass Holdings, Ltd.
Date Quantity Price
(Purchases)
October 14, 1997 2,000 $26,344
October 28, 1997 1,000 $18.720
November 4, 1997 1,000 $19.000
(Sales)
October 21, 1997 3,000 $22.069
November 5, 1997 600 $20.125
November 6, 1997 1,000 $19.860
November 7, 1997 9,200 $19.744
November 10, 1997 800 $19.897
November 12, 1997 600 $20.000
November 12, 1997 3,300 $19.626
November 26, 1997 6,250 $17.875
Signature
After reasonable inquiry and to the best of the undersigned's knowledge and
belief, the undersigned hereby certifies that the information set forth in this
statement is true, complete and correct.
Dated: December 10, 1997
/s/ David A. Rocker
-----------------------------
David A. Rocker,
individually, as managing
partner of Rocker Partners,
L.P., and as president of
Rocker Offshore Management
Company, Inc., the investment
adviser to Compass Holdings,
Ltd.
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL
CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001).
