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FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
WASHINGTON, D.C. 20549 OMB Number 3235-0104
Expires: September 30, 1998
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Estimated average burden
hours per response..........0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or Section
30(f) of the Investment Company Act of 1940
(Print or Type Responses)
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1. Name and Address of Reporting Person* 2. Date of Event Re- 4. Issuer Name and Ticker or Trading Symbol
quiring Statement
Chilton, Jr. Richard L. (Month/Day/Year) Stocker & Yale, Inc. - STKR
(Last) (First) (Middle) 5. Relationship of Reporting Person(s) to 6. If Amendment,
July 29, 1997 Issuer (Check all applicable) Date of Original
Director X 10% Owner (Month/Day/Year)
3. IRS or Social Se- ----- -----
320 Park Avenue curity Number of Officer (give Other (specify 7. Individual or Joint/
(Street) Reporting Person ----- title below) ----- below) Group Filing (Check
(Voluntary) Applicable Lines)
Form Filed by One
New York New York 10022 --- Reporting Person
(City) (State) (Zip) ---------------------------------- X Form Filed by More
--- than One Reporting
Person
Table I - Non-Derivative Securities Beneficially Owned
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1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect Beneficial
(Instr. 4) Beneficially Owned Direct (D) or Ownership (Instr. 5)
(Instr. 4) Indirect (I)
(Instr. 5)
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Common Stock * * *
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instructions 5(b)(v). SEC 1473 (7-96)
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FORM 3 (CONTINUED) TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE
SECURITIES)
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1. Title of Derivative 2. Date Exercisable and Expiration 3. Title and Amount of 4. Conver- 5. Ownership 6. Nature of
Security Date (Month/Day/Year) Securities Underlying sion or Form of Indirect
(Instr. 4) Derivative Security Exercise Derivative Beneficial
(Instr. 4) Price of Security: Ownership
Deri- Direct (D) or (Instr. 5)
vative Indirect (I)
Date Exer- Expiration Date Title Amount or Security (Instr. 5)
cisable Number of
Shares
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Explanation of Responses:
August 13, 1997
** Intentional misstatements or omissions of facts ---------------------------------------- -------------------
constitute Federal Criminal Violations. **Signature of Reporting Person Date
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). See page 3
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Form 3
Continuation Sheet
ITEM 1: Richard L. Chilton, Jr.
320 Park Avenue
New York, New York 10022
ITEM 2: July 29, 1997
ITEM 4: Stocker & Yale, Inc. - STKR
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Instruction 5(b)(v) list of other Reporting Persons:
This statement is being filed by Richard L. Chilton, Jr. ("Mr.
Chilton") and Chilton Investment Co., Inc. ("Chilton Investment";
together with Mr. Chilton, the "Reporting Persons"). The
principal business address of each of the Reporting Persons is
320 Park Avenue, New York, New York, 10022.
Explanation of Responses:
* Mr. Chilton may be deemed to own beneficially and indirectly
in the aggregate 257,520 shares of Common Stock. The securities
reported herein are owned by the clients of Mr. Chilton. Mr.
Chilton disclaims beneficial ownership of the securities reported
herein except to the extent of his pecuniary interest therein, if
any.
Chilton Investment may be deemed to own beneficially and
indirectly in the aggregate 480 shares of Common Stock. The
securities reported herein are owned by the clients of Chilton
Investment. Chilton Investment disclaims beneficial ownership of
the securities reported herein except to the extent of its
pecuniary interest therein, if any.
Signatures:
RICHARD L. CHILTON, JR.
/s/ Richard L. Chilton, Jr.
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CHILTON INVESTMENT CO., INC.
By: /s/ Richard L. Chilton, Jr.
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Name: Richard L. Chilton, Jr.
Title: President
