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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/14/20 Tofias Michael D SC 13G/A 1:49K STR Holdings, Inc. Toppan Merrill/FA |
Document/Exhibit Description Pages Size
1: SC 13G/A Amendment to Statement of Acquisition of HTML 27K
Beneficial Ownership by a Passive Investor
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
STR Holdings, Inc.
(Name of Issuer)
Common Stock, par value $0.01 per share
(Title of Class of Securities)
(CUSIP Number)
(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)
x Rule 13d-1(c)
¨ Rule 13d-1(d)
| * | 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).
Schedule 13G |
||
| CUSIP No. 78478V209 | Page 2 of 5 |
| 1 | name of reporting person
Michael D. Tofias | ||
| 2 | check the appropriate box if a member of a group (a) ¨ (b) ¨ | ||
| 3 | sec use only | ||
| 4 | citizenship or place of organization
United States of America | ||
NUMBER
OF EACH
WITH |
5 | sole voting power
1,252,460 shares | |
| 6 | shared voting power
0 shares | ||
| 7 | sole dispositive power
1,252,460 shares | ||
| 8 | shared dispositive power
0 shares | ||
| 9 | aggregate amount beneficially owned by each reporting person
1,252,460 shares | ||
| 10 | check box if the aggregate amount in row (9) excludes certain shares ¨
| ||
| 11 | percent of class represented by amount in row (9)
6.2%* | ||
| 12 | type of reporting person
OO | ||
| * | Percentage calculated based on 20,152,029 shares of common stock, par value $0.01 per share, outstanding as of October 31, 2019, as reported by STR Holdings, Inc. in its Form 10-Q filed on November 14, 2019. |
C:
Schedule 13G |
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| CUSIP No. 78478V209 | Page 3 of 5 |
| Item 1(a). | Name of Issuer |
STR Holdings, Inc. (the “Issuer”)
| Item 1(b). | Address of Issuer’s Principal Executive Offices |
10 Water Street, Enfield, Connecticut, 06082
| Item 2(a). | Name of Person Filing |
Michael D. Tofias
| Item 2(b). | Address of Principal Business Office or, if None, Residence |
25 Cambridge Drive, Short Hills, New Jersey 07078
| Item 2(c). | Citizenship |
United States of America
| Item 2(d). | Title of Class of Securities |
Common stock, par value $0.01 per share
| Item 2(e). | CUSIP Number |
| 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: |
| (a) | ¨ Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
| (b) | ¨ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
| (c) | ¨ Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
| (d) | ¨ Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). |
| (e) | ¨ An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E). |
| (f) | ¨ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F). |
| (g) | ¨ A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G). |
| (h) | ¨ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). |
C:
Schedule 13G |
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| CUSIP No. 78478V209 | Page 4 of 5 |
| (i) | ¨ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). |
| (j) | ¨ Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
| Item 4. | Ownership |
With respect to the beneficial ownership of the reporting persons, see Items 5 through 11 of the cover pages to this Amendment No. 2 to Schedule 13G, which are incorporated by reference.
| 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. | Certifications. |
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, other than activities solely in connection with a nomination under §240.14a-11.
C:
Schedule 13G |
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| CUSIP No. 78478V209 | Page 5 of 5 |
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: February 13, 2020 | |
| /s/ Michael D. Tofias | |
| Michael D. Tofias |
C:
| This ‘SC 13G/A’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed as of: | 2/14/20 | |||
| Filed on: | 2/13/20 | |||
| 12/31/19 | ||||
| 11/14/19 | 10-Q | |||
| 10/31/19 | ||||
| List all Filings | ||||