UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. __)*
The Rattlesnake Holding Company, Inc.
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(Name of Issuer)
Common Stock, $.001 par value
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(Title of Class of Securities)
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753904101
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(CUSIP Number)
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Ruskin, Moscou, Evans & Faltischek, P.C.
170 Old Country Road
Mineola, NY 11501
Attention: Stuart M. Sieger, Esq.
(516) 663-6600
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(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
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April 6, 1999
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(Date of Event which Requires Filing of this Statement)
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 [ ].
Check the following box if a fee is being paid with the statement [ ]. (A
fee is not required only if the reporting person: (1) has a previous statement
on file reporting beneficial ownership of more than five percent of the class of
securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such class.)
(See Rule 13d-7.)
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).
<PAGE>
SCHEDULE 13D
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CUSIP No. 753904101 Page 2 of 3 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Stephen A. Stein
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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*
OO
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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
USA
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NUMBER OF
SHARES 7 SOLE VOTING POWER
BENEFICIALLY 6,151,224 (includes 2,230,676 common stock,
OWNED BY $.001 par value and 3,920,548 common
EACH stock purchase warrants)
REPORTING
PERSON
WITH
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8 SHARED VOTING POWER
-0-
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9 SOLE DISPOSITIVE POWER
6,151,224 (includes 2,230,676 common stock,
$.001 par value and 3,920,548 common stock
purchase warrants)
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10 SHARED DISPOSITIVE POWER
-0-
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,151,224 (includes 2,230,676 common stock, $.001 par value and
3,920,548 common stock purchase warrants)
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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)
18.1% (assumes full exercise of warrants by Reporting Person but no
exercise of warrants by any other beneficial owner)
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14 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 2 of 5
(INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION
<PAGE>
Item 1. Security and Issuer.
The Rattlesnake Holding Company, Inc.
2 South Main Street
South Norwalk, CT 06854
Common Stock, $.01 par value
Item 2. Identity and Background.
Stephen A. Stein
60 Foxwood Drive
Jericho, NY 11753
Item 3. Source and Amount of Funds or Other Consideration.
OO
Item 4. Purpose of Transaction.
Payment for Services Rendered 1996 to date. The Reporting Person was also
employed by Commonwealth Associates, which acted as Placement Agent of the
Company's securities in its Private Placement Offering which began on October
27, 1998. In such capacity, the Reporting Person has received, and may receive,
additional warrants to purchase Common Stock of the Issuer.
Item 5. Interest in Securities of the Issuer.
18.1% (assumes full exercise of warrants by Reporting Person but no
exercise of warrants by any other beneficial owner)
Item 6. Contracts, Arrangements, Understandings or Relationships with
Respect to Securities of the Issuer.
Not applicable.
Item 7. Material to be Filed as Exhibits.
Not applicable.
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: June 12, 1999
By: /s/Stephen A. Stein
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Stephen A. Stein
