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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1 )*
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SUNRISE TECHNOLOGIES, INC.
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(Name of Issuer)
COMMON STOCK
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(Title of Class of Securities)
86769L 10 3
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(CUSIP Number)
RUSSELL H. HARBAUGH, JR.
CONNER & WINTERS, A PROFESSIONAL CORPORATION
2400 FIRST PLACE TOWER, 15 EAST 5TH STREET
TULSA, OK 74103
(918) 586-5694
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(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
FEBRUARY 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 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 [ ].
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 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).
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SCHEDULE 13D
CUSIP NO. 86769L 10 3 PAGE 2 OF 5 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
THOMAS E. OXLEY
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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
NOT APPLICABLE
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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
NUMBER OF
-0-
SHARES ------------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 1,006,500
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EACH
9 SOLE DISPOSITIVE POWER
REPORTING
-0-
PERSON ------------------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
1,006,500
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,006,500
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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)
3.6%
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14 TYPE OF REPORTING PERSON
IN
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SCHEDULE 13D
CUSIP NO. 86769L 10 3 PAGE 3 OF 5 PAGES
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ITEM 1. SECURITY AND ISSUER
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This Amendment No. 1 amends and supplements the statement on Schedule 13D
dated October 29, 1996, filed by Thomas E. Oxley relating to the shares of
common stock, $.01 par value per share ("Common Stock"), of Sunrise
Technologies, Inc., a Delaware corporation (the "Company") whose principal
business address is 47257 Fremont Boulevard, Fremont, California 94538.
Capitalized terms used herein without definition have the same meaning as that
ascribed to them in the initial filing.
ITEM 2. IDENTITY AND BACKGROUND
-------------------------------
No change.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
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Not applicable.
ITEM 4. PURPOSE OF TRANSACTION
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Not applicable.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
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(a) By reason of his serving as a Co-Executor of the Oxley Estate, Mr. Oxley
may be deemed to be the beneficial owner of 1,006,500 shares of Common Stock
of the Company, representing approximately 3.6% of the outstanding shares of
Common Stock (based on 27,868,613 shares of Common Stock being outstanding as
of October 29, 1996). Pursuant to Rule 13d-4 promulgated under the Exchange
Act, Mr. Oxley disclaims beneficial ownership of all shares of Common Stock
held by the Oxley Estate.
(b) Mr. Oxley has shared voting power and shared dispositive power with
respect to the 1,006,500 shares held by the Oxley Estate with John C. Oxley
and Charles C. Killin. Certain information with respect to John C. Oxley and
Mr. Killin was provided in Schedule 13D dated October 29, 1996.
(c) Since December 4, 1996, the following transactions were effected in the
open market regarding the Common Stock of the Company held by Boca Polo:
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SCHEDULE 13D
CUSIP NO. 86769L 10 3 PAGE 4 OF 5 PAGES
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<TABLE>
<CAPTION>
Number of Price Per
Date Shares Sold Share
---- ----------- ---------
<S> <C> <C>
12/4/96 12,000 $ 1.00
1/21/97 150,000 .875
1/22/97 50,000 .875
1/23/97 25,000 .875
2/3/97 54,000 .78125
2/4/97 30,000 .7708
2/5/97 100,000 .75
2/6/97 115,000 .75
2/7/97 149,000 .75
</TABLE>
(d) Mr. Oxley and John C. Oxley, as owners of all the outstanding capital
stock of Boca Polo, share the right to receive the proceeds from the sale of
the 685,000 shares of Common Stock sold by Boca Polo.
(e) Mr. Oxley ceased to be the beneficial owner of more than 5% of the Common
Stock on February 3, 1997.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR
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RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER
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None.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
-----------------------------------------
None.
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SCHEDULE 13D
CUSIP NO. 86769L 10 3 PAGE 5 OF 5 PAGES
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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.
/s/ THOMAS E. OXLEY
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THOMAS E. OXLEY
Date: FEBRUARY 22, 1997
