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Technology Stocks : PLASMA THERM (PTIS)
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To: DJ Clancey who wrote (362)2/17/1998 11:44:00 PM
From: Nittany Lion  Read Replies (1) of 509
 
DJ,

First of all, here is the complete definition according to Edgar:

Schedule 13D

This Schedule discloses beneficial ownership of certain registered equity securities. Any person or group of persons who acquire a beneficial ownership of more than 5% of a class of registered equity securities of certain issuers must file a Schedule 13D reporting such acquisition together with certain other information within ten days after such acquisition. Moreover, any material changes in the facts set forth in the Schedule generally precipitates a duty to promptly file an amendment on Schedule 13D.

The Commission's rules define the term "beneficial owner" to be any person who directly or indirectly shares voting power or investment power (the power to sell the security).
Interpretive Responsibility:
Division of Corporation Finance - Office of Tender Offers

Schedule 13G

Schedule 13G is a much abbreviated version of Schedule 13D that is only available for use by a limited category of "persons" (such as banks, broker/dealers, and insurance companies) and even then only when the securities were acquired in the ordinary course of business and not with the purpose or effect of changing or influencing the control of the issuer.
Interpretive Responsibility:
Division of Corporation Finance - Office of Tender Offers

To tell you the truth, I'm confused about this, since it indicates that Ronald Deferrari has over 2million shares or 18.31%. Wasn't he the one who registered to sell a good portion of his holdings last year as part of a diversification program? I think at that time he owned around 1 million shares or about 10%. Do I have the family mixed up? Can anyone shed any light on this?

Gary
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