UNIROYAL TECHNOLOGY CORPORATION
SUITE 900
TWO NORTH TAMIAMI TRAIL
SARASOTA, FLORIDA 34236
OLIVER J. JANNEY
VICE PRESIDENT, Telephone: (941) 361-2212
GENERAL COUNSEL & SECRETARY Fax: (941) 361-2214
November 24, 1997
via EDGAR
Securities and Exchange Commission
Division of Corporation Finance
450 Fifth Street, N.W.
Washington, D.C. 20549
Re: Schedule 13D - Uniroyal Technology Corporation
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Dear Sirs:
Enclosed, pursuant to Rule 13d-1(a) of the Securities Exchange Act
of 1934, is Schedule 13D on behalf of Howard R. Curd.
Very truly yours,
/S/ Oliver J. Janney
Oliver J. Janney
OJJ:rah
enc.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
UNIROYAL TECHNOLOGY CORPORATION
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(Name of Issuer)
Common Stock, par value $.01 per share
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(Title of Class of Securities)
909163107
(CUSIP Number)
Howard R. Curd
2 North Tamiami Trail
Suite 900
Sarasota, FL 34236
(941) 361-2205
November 13, 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 |_|.
Note: Six copies of this statement, including all exhibits, should be filing
with the Commission. See Rule 13d-1(a) for other parties to whom copies are to
be sent.
oThe 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. 909163107
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Howard R. Curd
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)|_|
(b)|_|
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 (a) |_|
6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
7 SOLE VOTING POWER
NUMBER OF 1,047,692 shares of Common Stock
SHARES
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
EACH
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON 1,047,692
WITH
10 SHARED DISPOSITIVE POWER
None
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,047,692 shares of Common Stock
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* |_|
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.64%
14 TYPE OF REPORTING PERSON*
IN
*SEE INSTRUCTIONS BEFORE FILLING OUT!
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STATEMENT PURSUANT TO RULE 13d-1
OF THE
GENERAL RULES AND REGULATIONS
UNDER THE
SECURITIES EXCHANGE ACT OF 1934, AS AMENDED
- -------------------------------------------------------------------------------
Item 1. Security and Issuer.
Common Stock, par value $.01 per share ("Common Stock") issued by
Uniroyal Technology Corporation, (the "Issuer"), 2 North Tamiami
Trail, Suite 900, Sarasota, Florida 34236.
Item 2. Identity and Background.
(a) Name:
Howard R. Curd
(b) Business Address:
2 North Tamiami Trail, Suite 900
Sarasota, Florida 34236
(c) The Reporting Person is Chairman of the Board and Chief
Executive Officer of the Issuer.
(d) The Reporting Person has not, during the last five years,
been convicted in a criminal proceeding (excluding traffic
violations or similar misdemeanors).
(e) The Reporting Person has not, during the last five years,
been a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction, as a result
of which proceeding he was subject to a judgement, decree or
final order enjoining future violations of, or prohibiting
or mandating activities subject to federal or state
securities laws or finding any violations with respect to
such laws.
(f) Citizenship.
U.S.A.
Item 3. Source and Amount of funds or Other consideration.
The Reporting Person used personal funds to acquire the
Common Stock. The amount of funds used for purchases within
the ten days prior to filing of this Schedule 13D is
$2,114,546.38.
Item 4. Purpose of Transaction.
The Reporting Person acquired the Common Stock for
investment purposes.
Item 5. Interest in Securities of the Issuer.
(a) The Reporting Person currently beneficially owns
1,047,692 shares of Common Stock, consisting of
approximately 7.64% of the outstanding Common Stock. Such
shares consist of the following:
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Shares held directly 586,252
Shares beneficially owned in Company
Savings Plan 632
Shares issuable on exercise of
currently exercisable options 384,508
Shares issuable upon exercise of
warrants 76,300
(b) The number of shares of Common Stock as to which there is
sole power to vote or to direct the vote, shared power to
vote or to direct the vote, sole power to dispose or direct
the disposition, or shared power to dispose or direct the
disposition for each person named in Item 5(a) is set forth
on the cover page, and such information is incorporated
herein by reference.
(c) The Reporting Person purchased 461,252 shares of Common
Stock at a price of $4.375 per share on November 13, 1997
and 76,300 warrants of the Company at a price of $1.25 per
warrant on November 19, 1997; both purchases were in the
open market.
(d) Not applicable.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with
Respect to theSecurities of the Issuer.
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: November 24, 1997
/S/ Howard R. Curd
Howard R. Curd
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