UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
Pollution Research and Control Corp.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
731-547-303
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(CUSIP Number)
Ronald E. Patterson, 12343 Fairway Pointe Row, San Diego, CA 92128
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(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
March 31, 2000
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(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/A, and is filing this
schedule because of Rule 13d-l(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 13a-l(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)
<PAGE>
SCHEDULE 13D/A
CUSIP No. 731-547-303
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1 NAME OF REPORTING PERSON
S.S. OR l.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Ronald E. Patterson ###-##-####
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
PF
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
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7 SOLE VOTING POWER
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NUMBER OF | | SOLE VOTING POWER
SHARES | | 748,030
BENEFICIALLY |-----------------------------------------------------------------
OWNED BY | | SHARED VOTING POWER
EACH | | -0-
REPORTING |-----------------------------------------------------------------
WITH | | SOLE DISPOSITIVE POWER
| | 748,030
|-----------------------------------------------------------------
| | SHARED DISPOSITIVE POWER
| | -0-
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
748,030
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES* [ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.9%
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14 TYPE OF REPORTING PERSON*
IN See attached additional page 1 and 2.
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE>
Item 1. Security and Issuer
The class of equity securities to which this statement relates is shares of
Common Stock, no par value, of Pollution Research and Control Corp., a
California corporation (the "Company"), whose principal executive offices are
located at 506 Paula Avenue, Glendale, California 91201.
Item 2. Identity and Background
(a) Name: Ronald E. Patterson
(b) Address:
12343 Fraiway Pointe Row
San Diego, CA 92128
(c) Principal occupation: Retired
(d) The undersigned has not, during the last five years, been convicted in
a criminal proceeding (excluding traffic violations or similar misdemeanors).
(e) The undersigned has not, during the last five years, been a party to a
civil proceeding of a judicial or administrative body of competent jurisdiction
and as a result of such proceeding was or is subject to a judgment, decree or
final order enjoining future violations of, or prohibiting or mandating
activities subject to, federal or state securities laws or finding any violation
with respect to such laws.
(f) Citizenship: U.S.A.
Item 3. Source and Amount of Funds
Mr. Patterson utilized personal funds for the transaction described in Item
5(c)(1).
Item 4. Purpose of Transaction
Mr. Patterson acquired the Company's securities for investment purposes.
Mr. Patterson does not have any plans to engage in any of the activities
described in Item 4 of Schedule 13D/A.
<PAGE>
Item 5. Interest in Securities of the Issuer
(a) Mr. Patterson is the beneficial owner of 748,030 shares of the
Company's Common Stock (including 187,858 shares which may be acquired upon the
exercise of presently exercisable warrants), representing 16.9% of the
outstanding shares of Common Stock of the Company, based on 4,235,085 shares
outstanding on April 6, 2000, as advised by the Company.
(b) Mr. Patterson has the sole power to vote or to direct the vote and sole
power to dispose or to direct the disposition of such shares.
(c) This Amendment No. 2 to Schedule 13D is being filed to report the
following transactions:
(1) On March 31, 2000, Mr. Patterson exercised warrants (the "Initial
Warrants") to purchase an aggregate of 187,858 shares of the Company's
common stock by delivering to the Company the exercise price of $.75
per share. The Initial Warrants were exercisable until July 16, 2002.
In order to induce holders of Initial Warrants to exercise their
Initial Warrants prior to the expiration date, the Company had agreed
to issue additional warrants (the "Additional Warrants") to purchase
that number of shares issued upon the exercise of Initial Warrants.
(2) On March 31, 2000, Mr. Patterson acquired from the Company currently
exercisable Additional Warrants to purchase an aggregate of 187,858
shares at an exercise price of $4.00 per share. The Additional
Warrants expire on March 31, 2003.
(d) No other person has the right to receive or the power to direct the
receipt of dividends from, or the proceeds from the sale of, any of the
Company's securities that are owned by Mr. Patterson.
(e) Not applicable.
Item 6. Contract, Arrangement, Understanding or Relationships with Respect to
Securities of the Issuer.
None.
Item 7. Material to be Filed as Exhibits.
None.
<PAGE>
SIGNATURES
After due 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: May 1, 2000
/s/ Ronald E. Patterson
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Name: Ronald E. Patterson
Title: Individual
