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Previous: COOPER COMPANIES INC, 8-K, 2000-05-05 |
Next: NETOPTIX CORP, 4, 2000-05-05 |
<TABLE>
<CAPTION>
- ----------- -----------------------------
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL |
- ----------- Washington, D.C. 20549 | |
-----------------------------
[ ] Check this box if | |
no longer subject STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |OMB Number |
to Section 16. Filed pursuant to Section 16(a) of the Securities Exchange Act of |Expires: |
Form 4 or Form 5 1934, Section 17(a) of the Public Utility Holding Company Act of |Estimated average burden |
obligations may 1935 or Section 30(f) of the Investment Company Act of 1940 |hours per response |
continue. -----------------------------
See instruction 1(b)
(Print or Type Responses)
<S> <C> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
| |
1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol | 6. Relationship of Reporting
| NetOptix Corporation (Nasdaq: Optx) | Person(s) to Issuer
Andlinger Capital XIII LLC | | (Check all applicable)
- ----------------------------------------------|--------------------------|-------------------|
(Last) (First) (Middle) | | |
| 3. IRS or Social Se- |4. Statement for | __ Director X 10% Owner
105 Harbor Drive, Suite 125 | curity Number of | Month/Year | __ Officer __ Other
- ----------------------------------------------| Reporting Person | | (give title (specify
(Street) | (Voluntary) | | below) below)
| | |
| | |
| | 04/00 |
| |----------------------------------------------------------
| |5. If Amendment, |7. Individual or Joint/Group Filing
| | Date of Original| (Check Applicable Line)
Stamford CT 06902 | | (Month/Year) | X Form filed by One Reporting Person
| | | __ Form filed by More than One
| | | Reporting Person
- ----------------------------------------------|-------------------------------------------------------------------------------------
(City) (State) (Zip) | Table I -- Non-Derivative Securities, Acquired, Disposed of, or Beneficially Owned
|
- ------------------------------------------------------------------------------------------------------------------------------------
1. Title of Security |2. Trans- |3.Trans- | 4. Securities Acquired (A) |5. Amount of |6. Owner- | 7. Nature of
(Instr. 3) | action | action | or Disposed of (D) | Securities | ship | Indirect
| Date | Code | | Beneficially | Form: | Bene-
| | | | Owned at | Direct | ficial
| (Month/| | | End of Month | (D) or (I) | Ownership
| Day/ | (Instr. 8)| (Instr. 3, 4 and 5) | | |
| Year) |------|-----|------------------|-----|-------| | |
| | | | |(A)or| | | |
| | Code | V | Amount |(D) |Price | (Instr. 3 and 4)| (Instr. 4) | (Instr. 4)
- -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|----------------
Common Stock, par value | | | | | |$1.50/ | | |
$.01 per share | 4/5/00 | X | | 1,000,000 shares | |share | | (D) |
- -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|----------------
Common Stock, par value | | | | | | | | |
$.01 per share | | | | | | | 4,000,000 | (D) |
- -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|----------------
| | | | | | | | |
| | | | | | | | |
- -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|----------------
| | | | | | | | |
| | | | | | | | |
- -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|----------------
| | | | | | | | |
| | | | | | | | |
- -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|----------------
| | | | | | | | |
| | | | | | | | |
- -------------------------|----------|------|-----|------------------|-----|-------|-----------------|--------------|----------------
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
Table I - Continued
FORM 4 (Continued) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
1.Title of |2.(Conver-|3.Trans-|4.Trans-|5.Number of |6.Date Exer- |7.Title and |8.Price |9.Number |10.Owner-|11.Nature
Derivative| sion or | action| action| Derivative | cisable | Amount of | of | of deriv-| ship |of
Security | Exercise| Date | Code | Securities | and | Underlying | Deri- | ative | Form of |Indirect
(Instr. 3)| Price of| |(Instr. | Acquired | Expiration | Securities | vative| Securi- | Deriva- |Benefi-
| Deriv- | | 8) | (A) or Dis- | Date | (Instrs. 3 | Secu- | ties | tive |cial
| ative | | | posed of (D) | (Month/Day/ | and 4) | rity | Benefi- | Secu- |Owner-
| Security| (Month/| | | Year) | | (Instr.| cially | rity: |ship
| | Day/ | |(Instrs. 3,4, | | | 5) | Owned | Direct |(Instr.4
| | Year) | | and 5) | | | | at End | (D) or |
| | | | |--------------|------------------| | of Month | indirect|
| | | | |Date |Expira-| | Amount | | (Instr. 4| (I) |
| | | | |Exer- |tion | Title | or | | |(Instr.4)|
|----------|--------|----|---|--------|-------|cisa- |Date | | Number | | | |
| | | | | | |ble | | | of | | | |
| | | | | | | | | | Shares | | | |
| | |Code| V | (A) | (D) | | | | | | | |
- ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|---------
Warrant for | $1.50/ | 4/5/00 | X | | | D | | |Common |1,000,000| | | |
Common Stock| share | | | | | | | |Stock, | | | | |
| | | | | | | | |par | | | | |
| | | | | | | | |value | | | | |
| | | | | | | | |$.01 per| | | | |
| | | | | | | | |share | | | | |
- ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|---------
Warrant for | | | | | | | | | | | | 0 | |
Common Stock| | | | | | | | | | | | | |
| | | | | | | | | | | | | |
| | | | | | | | | | | | | |
| | | | | | | | | | | | | |
| | | | | | | | | | | | | |
- ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|---------
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| | | | | | | | | | | | | |
- ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|---------
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- ------------|----------|--------|----|---|--------|-------|------|-------|--------|---------|--------|----------|---------|---------
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- ------------------------------------------------------------------------------------------------------------------------------------
** Intentional misstatements or omissions of facts constitute Federal By: /s/ Stephen A. Magida 5/2/00
Criminal Violations. -----------------------------------
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ** Signature of Reporting Person Date
Manager, Andlinger Capital XIII LLC
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information
contained in this form are not required to respond unless the form displays a
currently valid OMB Number.
</TABLE>
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