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Kesselman Stanley – ‘SC 13G/A’ on 1/16/20 re: Espey MFG & Electronics Corp

On:  Thursday, 1/16/20, at 4:49pm ET   ·   Accession #:  1104659-20-4790   ·   File #:  5-19806

Previous ‘SC 13G’:  ‘SC 13G/A’ on 1/16/20   ·   Next:  ‘SC 13G/A’ on 1/11/21   ·   Latest:  ‘SC 13G/A’ on 1/10/22

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/16/20  Kesselman Stanley                 SC 13G/A               1:50K  Espey MFG & Electronics Corp      Toppan Merrill/FA

Amendment to Statement of Acquisition of Beneficial Ownership by a Passive Investor   —   Sch. 13G
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13G/A    Amendment to Statement of Acquisition of            HTML     29K 
                Beneficial Ownership by a Passive Investor                       


This is an HTML Document rendered as filed.  [ Alternative Formats ]



 

UNITED STATES 

SECURITIES AND EXCHANGE COMMISSION 

Washington, D.C. 20549

 

SCHEDULE 13G/A

(Amendment No. 4)

  

Under the Securities Exchange Act of 1934

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2

 

Espey Mfg & Electronics Corp.

 

(Name of Issuer)

 

Common Stock

 

(Title of Class of Securities)

 

296650 10 4

 

(CUSIP Number)

 

December 31, 2019

 

(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)

 

xRule 13d-1(c)

 

¨Rule 13d-1(d)

 

 

 

 C: 

 

 

   

CUSIP No. 296650 10 4  SCHEDULE 13G/A Page 2 of 7 Pages

 

 

1

NAME OF REPORTING PERSON

 

  Stanley Kesselman
2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY
   
4 CITIZENSHIP OR PLACE OF ORGANIZATION
 
USA


NUMBER
OF SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5

SOLE VOTING POWER

 

 

239,877
6

SHARED VOTING POWER

 

 

0
7

SOLE DISPOSITIVE POWER

 

 

239,877
8

SHARED DISPOSITIVE POWER

 

 

0

9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 

 

239,877

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES     

 

¨

11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 

 

9.98%

12 TYPE OF REPORTING PERSON
 

 

 IN (Individual)

 

 

 C: 

 

 

 

CUSIP No. 296650 10 4  SCHEDULE 13G/A Page 3 of 7 Pages

 

Item 1(a). Name of Issuer:
   
  Espey Mfg & Electronics Corp.
   
Item 1(b). Address of Issuer’s Principal Executive Offices:
   
  233 Ballston Avenue, Saratoga Springs, New York 12866
   
Item 2(a). Name of Person Filing:
   
  Stanley Kesselman
   
Item 2(b). Address of Principal Business Office or, if None, Residence:
   
  c/o Maxim Group, 405 Lexington Avenue, 2nd Floor, New York, NY 10174
   
Item 2(c). Citizenship or Jurisdiction of Organization:
   
  USA
   
Item 2(d). Title of Class of Securities:
   
  Common Stock
   
Item 2(e). CUSIP Number:
   
  296650 10 4

 

 C: 

 

 

 

CUSIP No. 296650 10 4  SCHEDULE 13G/A Page 4 of 7 Pages

  

Item 3.If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:

 

N/A

 

  (a) ¨ Broker or dealer registered under Section 15 of the Exchange Act.
  (b) ¨ Bank as defined in Section 3(a)(6) of the Exchange Act.
  (c) ¨ Insurance company as defined in Section 3(a)(19) of the Exchange Act.
  (d) ¨ Investment company registered under Section 8 of the Investment Company Act.
  (e) ¨ An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
  (f) ¨ An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
  (g) ¨ A parent holding company or control person in accordance with Rule 13d-1(b)(ii)(G);
  (h) ¨ A savings association as defined in Section 3(b) of Federal Deposit Insurance Act;
  (i) ¨ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;
  (j) ¨ A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J)
  (j) ¨ Group, in accordance with Rule 13d-1(b)(1)(ii)(K).

 

If filing as a non-U.S. institution in accordance with Rule 13d–1(b)(1)(ii)(J), please specify the type of institution: ________

 

 C: 

 

 

 

CUSIP No. 296650 10 4  SCHEDULE 13G/A Page 5 of 7 Pages

 

Item 4.Ownership.

 

(a) Amount beneficially owned:
   
 

239,877

   
(b) Percent of class:
   
  9.98%
   
(c) Number of shares as to which such person has:
   
(i)

Sole power to vote or to direct the vote:

 

239,877

   
(ii)

Shared power to vote or to direct the vote:

 

   
(iii)

Sole power to dispose or to direct the disposition of:

 

239,877

   
(iv)

Shared power to dispose or to direct the disposition of:

 

 

 C: 

 

 

 

CUSIP No. 296650 10 4  SCHEDULE 13G/A Page 6 of 7 Pages

 

 

Item 5.Ownership of Five Percent or Less of a Class.

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ¨.

 

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.

 

Item 9.Notice of Dissolution of Group.

 

Not Applicable.

 

Item 10.Certification.

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 C: 

 

 

 

CUSIP No. 296650 10 4  SCHEDULE 13G/A Page 7 of 7 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.

 

Dated: January 15, 2020  
   
   /s/ Stanley Kesselman
  Name: Stanley Kesselman

 

  

 

 C: 

 


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC 13G/A’ Filing    Date    Other Filings
Filed on:1/16/20SC 13G/A
1/15/20
12/31/198-K
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Filing Submission 0001104659-20-004790   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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