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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
AMENDMENT No. 1 TO SCHEDULE 13D
Under the Securities Exchange Act of 1934
Semiconductor Laser International Corporation
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(Name of Issuer)
Common Stock, par value $0.01
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(Title of Class of Securities)
816638100
(CUSIP Number)
ANB Alster Neue Beteiligungs GmbH & Co. KG
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Neuer Wall 20
20354 Hamburg, Germany
Attention: Dr. Gerd Kukuk
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
August 15, 2000
(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: Schedule filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7(b) 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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AMENDMENT No. 1 TO SCHEDULE 13D
CUSIP NO. 816638100 Page 2 of 5 Pages
NAME OF REPORTING PERSON(S)
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
ANB Alster Neue Beteiligungs GmbH & Co. KG
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
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SEC USE ONLY
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SOURCE OF FUNDS*
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d)
or 2(e) [ ]
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CITIZENSHIP OR PLACE OF ORGANIZATION Federal Republic of Germany
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NUMBER OF
SHARES SOLE VOTING POWER 7,811,650
BENEFICIALLY
OWNED BY
EACH
REPORTING PERSON WITH
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SHARED VOTING POWER 0
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SOLE DISPOSITIVE POWER 7,811,650
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SHARED DISPOSITIVE POWER 0
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
7,811,650
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 23.0%
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TYPE OF REPORTING PERSON PN
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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.
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Page 3 of 5 Pages
The Reporting Person hereby amends its initial Statement on Schedule 13D dated
February 15, 2000 in respect of the Common Stock of the Issuer. All capitalized
terms used and not otherwise defined herein shall have the same meaning herein
as in such initial Statement on Schedule 13D.
ITEM 4. PURPOSE OF TRANSACTION
The Reporting Person holds the Securities for the purpose of capital
appreciation, and may sell relatively small amounts of Common Stock in
open-market or privately-negotiated transactions from time to time. Except as
stated in the preceding sentence, none of the Reporting Person, ANB GmbH nor the
Control Person has any plans or proposals which relate to or would result in any
of the actions or transactions specified in clauses (a) through (j) of Item 4 of
Schedule 13D.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a)-(b) Based on information reported by the Issuer, as at April 30, 2000 there
were issued and outstanding 28,478,263 shares of Common Stock. The Reporting
Person is the beneficial owner of 2,311,650 shares of Common Stock of the
Issuer, 1,000,000 shares of Series B Preferred Stock (which represents 100% of
the issued and outstanding shares of the Series B Preferred Stock; shares of
Series B Preferred Stock are non-voting and are immediately convertible into
shares of Common Stock at a conversion ratio of five shares of Common Stock for
every share of Series B Preferred Stock), subject to adjustment as provided in
the Certificate of Designations, Preferences and Rights relating to the Series B
Preferred Stock, and 500,000 common stock purchase warrants (each immediately
exercisable and entitling the holder thereof to purchase one share of Common
Stock at a price of U.S.$0.50; the common stock purchase warrants expire on June
26, 2004). If the Reporting Person were to both exercise the Warrants and
convert the Preferred Stock that it owns, it would become the beneficial owner
of 7,811,650 shares of Common Stock, representing approximately 23.0% of the
then issued and outstanding stock. (For purposes of the above percentage
calculation, it is assumed that there would have been no changes to the amount
of issued and outstanding Common Stock used for purposes of this Statement other
than those changes necessary to effect the exercise of the Warrants and the
conversion of the Preferred Shares into shares of Common Stock).
Neither the filing of this Statement nor any of its contents shall be deemed to
constitute an admission that any of the persons named in Item 2 of the initial
Schedule 13D, other than the Reporting Person, is the beneficial owner of any of
the Securities for the purposes of Section 13(d) of the Exchange Act, as
amended, or for any other purpose, and such beneficial ownership is expressly
disclaimed.
(c) Except as set forth immediately below, none of the Reporting Person, ANB
GmbH nor the Control Person has acquired or disposed of any shares of Common
Stock since February 15, 2000 (the date which required filing of the initial
Schedule 13D). The Reporting Person has sold shares of Common Stock in the
following amounts on the dates and at the prices indicated:
No. of Shares Sold Date of Sale Sale Price per Share
10,000 4/04/00 $1.543
10,000 4/12/00 1.843
10,000 4/13/00 1.500
10,000 4/28/00 1.007
10,000 5/02/00 1.062
1,000 5/03/00 1.000
10,000 6/16/00 1.000
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Page 4 of 5 Pages
All such sales were effected in normal transactions with a professional
financial intermediary in Germany. Such sales give rise to a liability in favor
of the Issuer under Section 16(b) of the Exchange Act. In the absence of future
purchases (which are not contemplated), future sales will not give rise to such
a liability.
(d) Not applicable.
(e) Not applicable.
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Page 5 of 5 Pages
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.
August 30, 2000
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(Date)
/s/ Dr. Gerd Kukuk
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(Signature)
Dr. Gerd Kukuk, Managing Director
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(Name/Title)
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