UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D/A
Under the Securities and Exchange Act of 1934
(Amendment No. 4)
EMERGING VISION, INC.
(Name of Issuer)
COMMON STOCK, PAR VALUE $0.01
(Title of Class of Securities)
859727109
(CUSIP Number)
Dr. Robert Cohen
100 Quentin Roosevelt Blvd., Suite 400
Garden City, New York 11530
(516) 390-2200
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
November 5, 2003
(Date of Event which Requires Filing Statement on Schedule 13D)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box ¨.
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Dr. Robert Cohen |
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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
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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 |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
3,023,859* 8. SHARED VOTING POWER
0 9. SOLE DISPOSITIVE POWER
3,023,859* 10. SHARED DISPOSITIVE POWER
0 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,023,859* |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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¨
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.3%* |
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14. | TYPE OF REPORTING PERSON
IN |
* This number includes the right to acquire 750,000 shares of the Issuers common stock upon the exercise of presently exercisable, outstanding options. In determining the percentage of class represented by the amount in row (11), 750,000 shares were added to the total outstanding shares of the Issuers common stock.
1
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Dr. Alan Cohen |
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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
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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 |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
3,428,504* 8. SHARED VOTING POWER
0 9. SOLE DISPOSITIVE POWER
3,428,504* 10. SHARED DISPOSITIVE POWER
0 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,428,504* |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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¨
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.8%* |
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14. | TYPE OF REPORTING PERSON
IN |
* This number includes (i) the right to acquire 750,000 shares of common stock upon the exercise of presently exercisable, outstanding options. In determining the percentage of class represented by the amount in row (11), 750,000 shares were added to the total outstanding shares of the Issuers common stock.
2
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Dr. Alan Cohen, a/c/f Erica Cohen |
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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
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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 |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
13,350 8. SHARED VOTING POWER
0 9. SOLE DISPOSITIVE POWER
13,350 10. SHARED DISPOSITIVE POWER
0 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,350 |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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¨
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.0% |
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14. | TYPE OF REPORTING PERSON
OO |
3
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Dr. Alan Cohen, a/c/f Nicole Cohen |
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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
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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 |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
13,350 8. SHARED VOTING POWER
0 9. SOLE DISPOSITIVE POWER
13,350 10. SHARED DISPOSITIVE POWER
0 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,350 |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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¨
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.0% |
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14. | TYPE OF REPORTING PERSON
OO |
4
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Michael Goodman, as trustee under the Jaclyn Cohen Trust |
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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
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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 |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
2,279,811 8. SHARED VOTING POWER
0 9. SOLE DISPOSITIVE POWER
2,279,811 10. SHARED DISPOSITIVE POWER
0 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,279,811 |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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¨
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.1% |
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14. | TYPE OF REPORTING PERSON
OO |
5
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Eric Fried, as trustee under the Gabrielle Cohen Trust |
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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
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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 |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
2,279,811 8. SHARED VOTING POWER
0 9. SOLE DISPOSITIVE POWER
2,279,811 10. SHARED DISPOSITIVE POWER
0 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,279,811 |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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¨
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.1% |
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14. | TYPE OF REPORTING PERSON
OO |
6
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Alan Faver, as trustee under the Nicole Cohen Trust |
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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
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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 |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
2,207,089 8. SHARED VOTING POWER
0 9. SOLE DISPOSITIVE POWER
2,207,089 10. SHARED DISPOSITIVE POWER
0 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,207,089 |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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¨
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.1% |
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14. | TYPE OF REPORTING PERSON
OO |
7
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Mark Goodman, as trustee under the Erica Cohen Trust |
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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
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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 |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
2,207,089 8. SHARED VOTING POWER
0 9. SOLE DISPOSITIVE POWER
2,207,089 10. SHARED DISPOSITIVE POWER
0 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,207,089 |
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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)
3.1% |
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14. | TYPE OF REPORTING PERSON
OO |
8
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Jeffrey Cohen |
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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
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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 |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
3,242,543 8. SHARED VOTING POWER
0 9. SOLE DISPOSITIVE POWER
3,242,543 10. SHARED DISPOSITIVE POWER
0 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,242,543 |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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¨
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.6% |
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14. | TYPE OF REPORTING PERSON
IN |
9
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Allyson Cohen Shapiro |
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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
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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 |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
2,783,409 8. SHARED VOTING POWER
0 9. SOLE DISPOSITIVE POWER
2,783,409 10. SHARED DISPOSITIVE POWER
0 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,783,409 |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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¨
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.0% |
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14. | TYPE OF REPORTING PERSON
IN |
10
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Stefanie Cohen Rubin |
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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
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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 |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
2,740,614 8. SHARED VOTING POWER
0 9. SOLE DISPOSITIVE POWER
2,740,614 10. SHARED DISPOSITIVE POWER
0 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,740,614 |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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¨
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.9% |
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14. | TYPE OF REPORTING PERSON
IN |
11
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Jeffrey Rubin |
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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
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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 |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
69,000 8. SHARED VOTING POWER
265,511* 9. SOLE DISPOSITIVE POWER
69,000 10. SHARED DISPOSITIVE POWER
265,511* |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
334,511 |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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¨
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.5% |
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14. | TYPE OF REPORTING PERSON
IN |
* Consists of 265,511 shares of the Issuers common stock held by JR Group, LLC, an entity controlled by Jeffrey Rubin.
12
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
JR Group, LLC 11-3463335 |
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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
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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
New York limited liability company |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
0 8. SHARED VOTING POWER
265,511* 9. SOLE DISPOSITIVE POWER
0 10. SHARED DISPOSITIVE POWER
265,511* |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
265,511* |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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¨
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.4% |
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14. | TYPE OF REPORTING PERSON
OO |
* Consists of 265,511 shares of the Issuers common stock held directly by JR Group, LLC, an entity controlled by Jeffrey Rubin.
13
1. | NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Lenore Katz |
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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
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5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
¨ | ||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. SOLE VOTING POWER
79,990 8. SHARED VOTING POWER
0 9. SOLE DISPOSITIVE POWER
79,990 10. SHARED DISPOSITIVE POWER
0 |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
79,990 |
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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)
0.1% |
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14. | TYPE OF REPORTING PERSON
IN |
14
Item 1. Security and Issuer.
The name of the Issuer is Emerging Vision, Inc., a New York corporation, which has its principal executive offices at 100 Quentin Roosevelt Boulevard Garden City, New York 11530. This statement relates to the Issuers common stock, $0.01 par value per share.
Item 2. Identity and Background.
(a)-(f). DR. ROBERT COHEN. This Schedule 13D is being filed by Dr. Robert Cohen, a citizen of the United States of America. Dr. Cohens principal business address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. Dr. Cohens principal occupation is an entrepreneur, business owner and operator. During the last five years, Dr. Robert Cohen has not been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
(a)-(f). DR. ALAN COHEN. This Schedule 13D is being filed by Dr. Alan Cohen, a citizen of the United States of America. Dr. Cohens principal business address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. Dr. Cohens principal occupation is an entrepreneur, business owner and operator. During the last five years, Dr. Cohen has not been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
(a)-(f). DR. ALAN COHEN, A/C/F ERICA COHEN. This Schedule 13D is being filed by Dr. Alan Cohen, A/C/F Erica Cohen. Dr. Alan Cohen is deemed to be the beneficial owner of the shares held by him as custodian for his child, Erica Cohen, who owns 13,350 shares of common stock. Dr. Alan Cohen and Erica Cohen are citizens of the United States of America. Dr. Alan Cohens principal business address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. Dr. Alan Cohens principal occupation is an entrepreneur, business owner and operator. During the last five years, neither Dr. Alan Cohen nor Erica Cohen has been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
(a)-(f). DR. ALAN COHEN, A/C/F NICOLE COHEN. This Schedule 13D is being filed by Dr. Alan Cohen, A/C/F Nicole Cohen. Dr. Alan Cohen is deemed to be the beneficial owner of the shares held by him as custodian for his child, Nicole Cohen, who owns 13,350 shares of common stock. Dr. Alan Cohen and Nicole Cohen are citizens of the United States of America. Dr. Alan Cohens principal business address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. Dr. Alan Cohens principal occupation is an entrepreneur, business owner and operator. During the last five years, neither Dr. Alan Cohen nor Nicole Cohen has been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
15
(a)-(f). MICHAEL GOODMAN, AS TRUSTEE. This Schedule 13D is being filed by Michael Goodman, as trustee under the Jaclyn Cohen Trust. Michael Goodman is deemed to be the beneficial owner of the shares held by him as trustee under the Jaclyn Cohen Trust, which owns 2,279,811 shares of common stock. Michael Goodman and Jaclyn Cohen are citizens of the United States of America. Michael Goodmans principal business address is 100 Quentin Roosevelt Blvd., Suite 516, Garden City, New York 11530. Michael Goodmans principal occupation is certified public accountant. During the last five years, neither Michael Goodman nor Jaclyn Cohen has been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
(a)-(f). ERIC FRIED, AS TRUSTEE. This Schedule 13D is being filed by Eric Fried, as trustee under the Gabrielle Cohen Trust. Eric Fried is deemed to be the beneficial owner of the shares held by him as trustee under the Gabrielle Cohen Trust, which owns 2,279,811 shares of common stock. Eric Fried and Gabrielle Cohen are citizens of the United States of America. Eric Frieds principal business address is 100 Quentin Roosevelt Blvd., Suite 516, Garden City, New York 11530. Eric Frieds principal occupation is certified public accountant. During the last five years, neither Eric Fried nor Gabrielle Cohen has been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
(a)-(f). ALAN FAVER, AS TRUSTEE. This Schedule 13D is being filed by Alan Faver, as trustee under the Nicole Cohen Trust. Alan Faver is deemed to be the beneficial owner of the shares held by him as trustee under the Nicole Cohen Trust, which owns 2,207,089 shares of common stock. Alan Faver and Nicole Cohen are citizens of the United States of America. Alan Favers principal business address is 100 Quentin Roosevelt Blvd., Suite 516, Garden City, New York 11530. Alan Favers principal occupation is certified public accountant. During the last five years, neither Alan Faver nor Nicole Cohen has been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
(a)-(f). MARK GOODMAN, AS TRUSTEE. This Schedule 13D is being filed by Mark Goodman, as trustee under the Erica Cohen Trust. Mark Goodman is deemed to be the beneficial owner of the shares held by him as trustee under the Erica Cohen Trust, which owns 2,207,089 shares of common stock. Mark Goodman and Erica Cohen are citizens of the United States of America. Mark Goodmans principal business address is 100 Quentin Roosevelt Blvd., Suite 516, Garden City, New York 11530. Mark Goodmans principal occupation is certified public accountant. During the last five years, neither Mark Goodman nor Erica Cohen has been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
16
(a)-(f). JEFFREY COHEN. This Schedule 13D is being filed by Jeffrey Cohen, a citizen of the United States of America. Jeffrey Cohens principal business address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. Jeffrey Cohens principal occupation is an entrepreneur, business owner and operator. During the last five years, Jeffrey Cohen has not been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
(a)-(f). ALLYSON COHEN SHAPIRO. This Schedule 13D is being filed by Allyson Cohen Shapiro, a citizen of the United States of America. Allyson Cohen Shapiros principal business address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. Her principal occupation is homemaker. During the last five years, Allyson Cohen Shapiro has not been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
(a)-(f). STEFANIE COHEN RUBIN. This Schedule 13D is being filed by Stefanie Cohen Rubin, a citizen of the United States of America. Stefanie Cohen Rubins principal business address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. Her principal occupation is homemaker. During the last five years, Stefanie Cohen Rubin has not been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
(a)-(f). JEFFREY RUBIN. This Schedule 13D is being filed by Jeffrey Rubin, a citizen of the United States of America. Jeffrey Rubins principal business address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. His principal occupation is an entrepreneur, business owner and operator. During the last five years, Jeffrey Rubin has not been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
(a)-(f). JR GROUP, LLC. This Schedule 13D is being filed by JR Group, LLC, a New York limited liability company controlled by Jeffrey Rubin. JR Group, LLCs principal business address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. JR Group, LLCs principal business activity is to act as a holding company for Jeffrey Rubins investments. During the last five years, JR Group, LLC has not been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
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(a)-(f). LENORE KATZ. This Schedule 13D is being filed by Lenore Katz, a citizen of the United States of America. Lenore Katzs principal business address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. Her principal occupation is homemaker. During the last five years, Lenore Katz has not been (A) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (B) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws.
Item 3. Source and Amount of Funds or Other Consideration.
Not applicable.
Item 4. Purpose of Transaction.
This filing is being made solely for the purpose of disclosing that on November 5, 2003, the Offering Group (as defined in the previously filed amendment to this Schedule 13D) notified the Special Independent Committee of the Board of Directors of the Issuer of the Offering Groups election to immediately rescind its prior offer. The Issuer filed a press release, dated November 6, 2003, regarding the Offering Groups rescission of its offer, which was also filed as an exhibit to the Issuers Current Report on Form 8-K, dated November 6, 2003. Accordingly, as of November 5, 2003, the Offering Group ceased to be a Section 13(d) group required to report thereunder.
Item 5. Interest in Securities of the Issuer.
1. | Dr. Robert Cohen |
(a) | Amount of Securities Beneficially Owned: 3,023,859 |
(b) | Number of shares as to which such person has: |
(i) | Sole power to vote or direct vote: 3,023,859 |
(ii) | Shared power to vote or direct vote: 0 |
(iii) | Sole power to dispose, or direct disposition, of shares: 3,023,859 |
(iv) | Shared power to dispose, or direct disposition, of shares: 0 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: Not applicable |
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2. | Dr. Alan Cohen |
(a) | Amount of Securities Beneficially Owned: 3,428,504 |
(b) | Number of shares as to which such person has: |
(i) | Sole power to vote or direct vote: 3,428,504 |
(ii) | Shared power to vote or direct vote: 0 |
(iii) | Sole power to dispose, or direct disposition, of shares: 3,428,504 |
(iv) | Shared power to dispose, or direct disposition, of shares: 0 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: Not applicable |
3. | Dr. Alan Cohen, a/c/f Erica Cohen |
(a) | Amount of Securities Beneficially Owned: 13,350 |
(b) | Number of shares as to which such person has: |
(i) | Sole power to vote or direct vote: 13,350 |
(ii) | Shared power to vote or direct vote: 0 |
(iii) | Sole power to dispose, or direct disposition, of shares: 13,350 |
(iv) | Shared power to dispose, or direct disposition, of shares: 0 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: November 5, 2003 |
4. | Dr. Alan Cohen, a/c/f Nicole Cohen |
(a) | Amount of Securities Beneficially Owned: 13,350 |
(b) | Number of shares as to which such person has: |
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(i) | Sole power to vote or direct vote: 13,350 |
(ii) | Shared power to vote or direct vote: 0 |
(iii) | Sole power to dispose, or direct disposition, of shares: 13,350 |
(iv) | Shared power to dispose, or direct disposition, of shares: 0 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: November 5, 2003 |
5. | Michael Goodman, as trustee under the Jaclyn Cohen Trust |
(a) | Amount of Securities Beneficially Owned: 2,279,811 |
(b) | Number of shares as to which such person has: |
(i) | Sole power to vote or direct vote: 2,279,811 |
(ii) | Shared power to vote or direct vote: 0 |
(iii) | Sole power to dispose, or direct disposition, of shares: 2,279,811 |
(iv) | Shared power to dispose, or direct disposition, of shares: 0 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: Not applicable |
6. | Eric Fried, as trustee under the Gabrielle Cohen Trust |
(a) | Amount of Securities Beneficially Owned: 2,279,811 |
(b) | Number of shares as to which such person has: |
(i) | Sole power to vote or direct vote: 2,279,811 |
(ii) | Shared power to vote or direct vote: 0 |
(iii) | Sole power to dispose, or direct disposition, of shares: 2,279,811 |
(iv) | Shared power to dispose, or direct disposition, of shares: 0 |
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(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: Not applicable |
7. | Alan Faver, as trustee under the Nicole Cohen Trust |
(a) | Amount of Securities Beneficially Owned: 2,207,089 |
(b) | Number of shares as to which such person has: |
(i) | Sole power to vote or direct vote: 2,207,089 |
(ii) | Shared power to vote or direct vote: 0 |
(iii) | Sole power to dispose, or direct disposition, of shares: 2,207,089 |
(iv) | Shared power to dispose, or direct disposition, of shares: 0 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: Not applicable |
8. | Mark Goodman, as trustee under the Erica Cohen Trust |
(a) | Amount of Securities Beneficially Owned: 2,207,089 |
(b) | Number of shares as to which such person has: |
(i) | Sole power to vote or direct vote: 2,207,089 |
(ii) | Shared power to vote or direct vote: 0 |
(iii) | Sole power to dispose, or direct disposition, of shares: 2,207,089 |
(iv) | Shared power to dispose, or direct disposition, of shares: 0 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: Not applicable |
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9. | Jeffrey Cohen |
(a) | Amount of Securities Beneficially Owned: 3,242,543 |
(b) | Number of shares as to which such person has: |
(i) | Sole power to vote or direct vote: 3,242,543 |
(ii) | Shared power to vote or direct vote: 0 |
(iii) | Sole power to dispose, or direct disposition, of shares: 3,242,543 |
(iv) | Shared power to dispose, or direct disposition, of shares: 0 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: Not applicable |
10. | Allyson Cohen Shapiro |
(a) | Amount of Securities Beneficially Owned: 2,783,409 |
(b) | Number of shares as to which such person has: |
(i) | Sole power to vote or direct vote: 2,783,409 |
(ii) | Shared power to vote or direct vote: 0 |
(iii) | Sole power to dispose, or direct disposition, of shares: 2,783,409 |
(iv) | Shared power to dispose, or direct disposition, of shares: 0 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: Not applicable |
11. | Stefanie Cohen Rubin |
(a) | Amount of Securities Beneficially Owned: 2,740,614 |
(b) | Number of shares as to which such person has: |
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(i) | Sole power to vote or direct vote: 2,740,614 |
(ii) | Shared power to vote or direct vote: 0 |
(iii) | Sole power to dispose, or direct disposition, of shares: 2,740,614 |
(iv) | Shared power to dispose, or direct disposition, of shares: 0 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: Not applicable |
12. | Jeffrey Rubin |
(a) | Amount of Securities Beneficially Owned: 334,511 |
(b) | Number of shares as to which such person has: |
(i) | Sole power to vote or direct vote: 69,000 |
(ii) | Shared power to vote or direct vote: 265,511 |
(iii) | Sole power to dispose, or direct disposition, of shares: 69,000 |
(iv) | Shared power to dispose, or direct disposition, of shares: 265,511 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: November 5, 2003 |
13. | JR Group, LLC |
(a) | Amount of Securities Beneficially Owned: 265,511 |
(b) | Number of shares as to which such person has: |
(i) | Sole power to vote or direct vote: 0 |
(ii) | Shared power to vote or direct vote: 265,511 |
(iii) | Sole power to dispose, or direct disposition, of shares: 0 |
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(iv) | Shared power to dispose, or direct disposition, of shares: 265,511 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: November 5, 2003 |
14. | Lenore Katz |
(a) | Amount of Securities Beneficially Owned: 79,990 |
(b) | Number of shares as to which such person has: |
(i) | Sole power to vote or direct vote: 79,990 |
(ii) | Shared power to vote or direct vote: 0 |
(iii) | Sole power to dispose, or direct disposition, of shares: 79,990 |
(iv) | Shared power to dispose, or direct disposition, of shares: 0 |
(c) | Transactions in securities of the Issuer within last 60 days: None |
(d) | Third party right to receive dividends or proceeds from sale of securities: None |
(e) | Date reporting person ceased to be the beneficial owner of more than five percent of the class of securities: November 5, 2003 |
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
None.
Item 7. Material to be Filed as Exhibits.
Exhibit A Special Power of Attorney to Dr. Robert Cohen
Exhibit B Press Release, dated November 6, 2003, with respect to the Issuers receipt of notice that the offer to acquire all of the outstanding capital stock of the Issuer, had been rescinded, in all respects (incorporated by reference to Exhibit 99.1 to the Issuers Current Report on Form 8-K, dated November 6, 2003)
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SIGNATURES
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 16, 2004
/s/ Dr. Robert Cohen |
DR. ROBERT COHEN
Dr. Alan Cohen Dr. Alan Cohen a/c/f Erica Cohen Dr. Alan Cohen a/c/f Nicole Cohen Michael Goodman, as trustee under the Jaclyn Cohen Trust Eric Fried, as trustee under the Gabrielle Cohen Trust Alan Faver, as trustee under the Nicole Cohen Trust Mark Goodman, as trustee under the Erica Cohen Trust Jeffrey Cohen Allyson Cohen Shapiro Stefanie Cohen Rubin Jeffrey Rubin JR Group, LLC Lenore Katz |
By: | /s/ Dr. Robert Cohen, as Attorney-in-Fact | |
Dr. Robert Cohen Attorney-in-Fact |
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Exhibit A
SPECIAL POWER OF ATTORNEY
The undersigned constitute and appoint Dr. Robert Cohen his/her true and lawful attorney-in-fact and agent with full power of substitution and resubstitution, for him/her and in his/her name, place, and stead, in any and all capacities, to sign the Schedule 13D for filing with the Securities and Exchange Commission on behalf of each and all of the undersigned, together with any and all amendments to such Schedule 13D, and to file the same with all exhibits thereto, and all documents in connection therewith, with the Securities and Exchange Commission, granting to such attorney-in-fact and agent, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully and to all intents and purposes as he/she might or could do in person, hereby ratifying and confirming all that such attorney-in-fact and agent may lawfully do or cause to be done by virtue hereof.
DATED: June 5, 2003
/s/ Dr. Alan Cohen |
Dr. Alan Cohen |
/s/ Dr. Alan Cohen |
Dr. Alan Cohen a/c/f Erica Cohen |
/s/ Dr. Alan Cohen |
Dr. Alan Cohen a/c/f Nicole Cohen |
/s/ Michael Goodman |
Michael Goodman, trustee under the |
/s/ Eric Fried |
Eric Fried, as trustee under the |
/s/ Alan Faver |
Alan Faver, as trustee under the |
/s/ Mark Goodman |
Mark Goodman, as trustee under the |
/s/ Jeffrey Cohen |
Jeffrey Cohen |
/s/ Allyson Cohen Shapiro |
Allyson Cohen Shapiro |
/s/ Stefanie Cohen Rubin |
Stefanie Cohen Rubin |
/s/ Jeffrey Rubin |
Jeffrey Rubin |
/s/ Jeffrey Rubin |
JR Group, LLC |
/s/ Lenore Katz |
Lenore Katz |
State of New York | ) | |
) | ||
County of Suffolk | ) |
On this 5th day of June, 2003, before me, the undersigned Notary Public, personally appeared each of the signatories hereto, each of whom is known to me to be the person whose name is subscribed to the within instrument and acknowledged that he executed the same for the purposes therein contained.
IN WITNESS WHEREOF, I hereunto set my hand and official seal.
/s/ Robyn Boyajian |
Notary Public |
My commission expires: August 19, 2006
SEAL