SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Rule 13d-102
Under the Securities Exchange Act of 1934
(Amendment No. 1)(*)
Focal Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
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(Title of Class of Securities)
343909107
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(CUSIP Number)
January 1, 1998
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(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
|_| Rule 13d-1 (b)
|_| Rule 13d-1 (c)
|X| Rule 13d-1 (d)
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(*) 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>
CUSIP No. 343909107
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Trustees of the General Electric Pension Trust
I.R.S. #14-6015763
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
State of New York
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NUMBER OF 5 SOLE VOTING POWER
SHARES None
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH 1,011,088
REPORTING --------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH None
--------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,011,088
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,011,088
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_|
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.58%
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12 TYPE OF REPORTING PERSON*
EP
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 2 of 12
<PAGE>
CUSIP No. 343909107
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
General Electric Investment Corporation, as Investment Manager of GEPT
(as defined below)
I.R.S. #22-2152310
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
State of Delaware
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NUMBER OF 5 SOLE VOTING POWER
SHARES None
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH 1,011,088
REPORTING --------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH None
--------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,011,088
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,011,088
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_|
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.58%
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12 TYPE OF REPORTING PERSON*
IA, CO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 3 of 12
<PAGE>
CUSIP No. 343909107
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
General Electric Company
I.R.S. #14-0689340
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
State of New York
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NUMBER OF 5 SOLE VOTING POWER
SHARES Disclaimed (see 9 below)
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH 0
REPORTING --------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH Disclaimed (see 9 below)
--------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Beneficial ownership of all shares disclaimed by General Electric Company
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|X| Disclaimed (see 9 below)
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
Not applicable (see 9 above).
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12 TYPE OF REPORTING PERSON*
CO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 4 of 12
<PAGE>
INTRODUCTORY NOTE: This Amendment No. 1 amends the Statement on Schedule 13G
filed on behalf of General Electric Company, a New York corporation ("GE"),
General Electric Investment Corporation, a Delaware corporation and a
wholly-owned subsidiary of GE ("GEIC"), and Trustees of General Electric Pension
Trust, a New York common law trust ("GEPT") on February 13, 1998 (as amended,
"Schedule 13G"). GEIC is a registered investment adviser and acts as Investment
Manager of GEPT, and may be deemed to be a beneficial owner of 1,011,088 shares
of Common Stock of Focal, Inc. (the "Issuer") owned by GEPT. GEPT and GEIC each
expressly disclaim that they are members of a "group". GE disclaims beneficial
ownership of all shares and expressly disclaims that it is a member of a
"group".
Item 1 Name of Issuer
Not applicable
Item 2(a) Name of Person Filing
Trustees of General Electric Pension Trust ("GEPT") (See Schedule
II).
General Electric Investment Corporation, as Investment Manager of
GEPT
General Electric Company
Item 3 If this statement is filed pursuant toss.ss.240.13d-1(b) or
240.13-2(b) or (c), check whether the person filing is a:
(a) [ ] Broker or Dealer registered under Section 15 of the Act (15
U.S.C.78o)
(b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C.78c)
(c) [ ] Insurance company as defined in Section 3(a)(19) of the Act
(15 U.S.C.78c)
(d) [ ] Investment Company registered under Section 8 of the
Investment Company Act of 1940 (U.S.C.80a-8)
(e) [ ] An Investment Adviser in accordance with
ss.240.13-1(b)(1)(ii)(E)
(f) [ ] An Employee Benefit Plan or Endowment Fund in accordance
with ss.240.13d-1(b)(1)(ii)(F)
(g) [ ] A Parent Holding Company or Control Person in accordance
with ss.240.13d-1(b)(1)(ii)G)
(h) [ ] A Savings Association as defined in Section 3(b) of the
Federal Deposit Insurance Act (U.S.C. 1813)
Page 5 of 12
<PAGE>
(i) [ ] A Church Plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3)
(j) [X] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J)
Item 4 Ownership
<TABLE>
<CAPTION>
<S> <C> <C> <C>
(a) Amount beneficially owned GEPT GEIC GE
(b) Percent of class 7.58% 7.58% 0
(c) No. of shares to which person has
(i) sole power to vote or direct
the vote None None Disclaimed
(ii) shared power to vote or direct 1,011,088 1,011,088 None
(iii) sole power to dispose or to
direct disposition None None Disclaimed
(iv) share power to dispose or to
direct disposition 1,011,088 1,011,088 None
</TABLE>
Item 5 Ownership of Five Percent or Less of Class
Not applicable
Item 6 Ownership of More than Five Percent on Behalf of Another Person
Not applicable
Item 7 Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on by the Parent Holding Company
Not applicable
Item 8 Identification and Classification of members of the Group
Not applicable
Page 6 of 12
<PAGE>
Item 9 Notice of Dissolution of Group
Not applicable
Item 10 Certification
Not applicable
Page 7 of 12
<PAGE>
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: February 16, 1999
GENERAL ELECTRIC PENSION TRUST
By: General Electric Investment Corporation,
its Investment Manager
By: /s/ Michael M. Pastore
----------------------------------------
Name: Michael M. Pastore
Title: Vice President
Page 8 of 12
<PAGE>
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: February 16, 1999
GENERAL ELECTRIC INVESTMENT
CORPORATION,
By: /s/ Michael M. Pastore
-------------------------------
Name: Michael M. Pastore
Title: Vice President
Page 9 of 12
<PAGE>
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: February 16, 1999
GENERAL ELECTRIC COMPANY
By: /s/ John H. Myers
-------------------------------
Name: John H. Myers
Title: Vice President
Page 10 of 12
<PAGE>
Schedule I
JOINT FILING AGREEMENT
This will confirm the agreement by and between all the undersigned
that the Schedule 13G on or about this date and any amendments thereto with
respect to the beneficial ownership by the undersigned of shares of the Common
Stock of Focal, Inc. is being filed on behalf of each of the undersigned.
Dated: February 16, 1999
GENERAL ELECTRIC PENSION TRUST
By: General Electric Investment Corporation
its Investment Manager
By: /s/ Michael M. Pastore
---------------------------------------
Name: Michael M. Pastore
Title: Vice President
GENERAL ELECTRIC INVESTMENT
CORPORATION,
By: /s/ Michael M. Pastore
---------------------------------------
Name: Michael M. Pastore
Title: Vice President
GENERAL ELECTRIC COMPANY
By: /s/ John H. Myers
---------------------------------------
Name: John H. Myers
Title: Vice President
Page 11 of 12
<PAGE>
Schedule II
TRUSTEES OF GENERAL ELECTRIC PENSION TRUST
3003 Summer Street, P.O. Box 7900
Stamford, Connecticut 06904
The names of the Trustees of General Electric Pension Trust are as follows:
Eugene K. Bolton
Michael J. Cosgrove
Ralph R. Layman
Alan M. Lewis
Robert A. MacDougall
John H. Myers
Thomas J. Szkutak
Donald W. Torey
Page 12 of 12
