UNITED STATES
SECURITIES AND EXHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities and Exchange Act of 1934
(Amendment No. 4)*
Andersen Group, Inc.
(Name of Issuer)
Common Stock, par value $0.00
(Title of Class of Securities)
033501107
(CUSIP Number)
Francis E. Baker, President, 2 Douglas Street, Bloomfield CT 06002
(860)242-0761
(Name, Address and Telephone Number of Person Authorized to Receive
Notices and Communications)
October 1, 1997
(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 [ ].
Check the following box if a fee is being paid with the statement [ ]. (A fee
is not required only if the reporting 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.)
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 and 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. 033501107 SCHEDULE 13D
1. NAME OF THE REPORTING PERSON
S.S. OF I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
STEVEN T. NEWBY
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
3. SEC USE ONLY
4. SOURCE OF FUNDS*PF
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]
6. CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
NUMBER OF 7. SOLE VOTING POWER
SHARES 123,417 shares
BENEFICIALLY 8. SHARED VOTING POWER
OWNED BY -0- shares
EACH 9. SOLE DISPOSITIVE POWER
REPORTING 123,417 shares
PERSON 10. SHARED DISPOSITIVE POWER
WITH -0- shares
11. AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH
REPORTING PERSON
123,417 shares
12. CHECK THE BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES*[ ]
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.30%
14. TYPE OF REPORTING PERSON*
IN
*SEE INSTRUCTIONS BEFORE FILLING OUT!
The purpose of this filing is to serve as Amendment No. 4 to the Schedule 13D
filed by Steven T. Newby with respect to his beneficial ownership of the
common stock, $0.00 par value per share (the "Common Stock"), of Andersen
Group, Inc. (the "Issuer") on November 28, 1995, as amended by Amendment No. 1
thereto filed on December 28, 1995, as amended by Amendment No. 2 thereto
filed on July 18,1996, and as amended by Amendment No. 3 thereto filed November
6, 1996.
ITEM 1. Security and Issuer
Andersen Group, Inc. Common Stock,
Par Value $0.00 per share
2 Douglas Street
Bloomfield, CT 06002
ITEM 2. Identity and Background
A) Steven T. Newby
B) 6116 Executive Boulevard, Suite 701
Rockville, MD 20852
C) Broker/Dealer Newby & Company
same address as above
D) None
E) None
F) USA
ITEM 3. Source and Amount of funds or Other Consideration
Source of all funds - personal. No funds borrowed
ITEM 4. Purpose of Transaction
For investment purposes only.
No further information in reference to Items 4A-4J.
ITEM 5. Interest in Securities of the Issuer
A) Steven T. Newby owns 123,417 shares or 6.30% of
Andersen Group, Inc. 1,958,478 shares outstanding (2/28/97).
B) Steven T. Newby has sole voting and sole disposition powers.
C) All sales in the last sixty days have been open market transactions.
07/23/97 Sold 13,000 shares @ 6.00 $ 78,000.00
08/15/97 Sold 10,000 shares @ 6.75 $ 67,500.00
09/10/97 Sold 10,000 shares @ 7.00 $ 70,000.00
09/25/97 Sold 25,000 shares @ 9.25 $231,250.00
10/01/97 Sold 10,000 shares @ 8.75 $ 87,500.00
D) Not applicable.
E) Not applicable.
ITEM 6. Contracts, Arrangements, Understandings or Relationships with respect
to Securities of the Issuer.
None
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 statement is true, complete and correct.
Dated: October 1, 1997
/S/ STEVEN T. NEWBY
STEVEN T. NEWBY
