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OMB APPROVAL |
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OMB Number: 3235-0101 Expires: December 31, 2009 Estimated average burden hours per response . . . . . . . . . 2.00 |
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SEC USE ONLY |
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DOCUMENT SEQUENCE NO. |
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CUSIP NUMBER |
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ATTENTION: |
Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker. |
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1 (a) NAME OF ISSUER (Please type or print) |
(b) IRS IDENT. NO. |
(c) S.E.C. FILE NO. |
WORK LOCATION |
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Photonic Products Group, Inc. |
22-2003247 |
0-11668 |
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1 (d) |
ADDRESS OF ISSUER |
STREET |
CITY |
STATE |
ZIP CODE |
(e) TELEPHONE NO. |
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181 Legrand Avenue |
Northvale |
NJ |
07647 |
AREA CODE |
NUMBER |
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201 |
767-1910 |
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2 (a) |
NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD |
(b) |
IRS IDENT. NO. |
(c) |
RELATIONSHIP TO ISSUER |
(d) |
ADDRESS STREET |
CITY |
STATE |
ZIP CODE |
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Daniel Lehrfeld |
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Officer |
181 Legrand Avenue |
Northvale |
NJ |
07647 |
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INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3 (a) |
Title of the Class of Securities To Be Sold |
(b) |
Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities |
SEC USE ONLY |
(c) |
Number
of Shares |
(d) |
Aggregate |
(e) |
Number
of Shares |
(f) |
Approximate
Date of Sale |
(g) |
Name of
Each Securities Exchange |
Broker-Dealer |
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Common Stock |
First Clearing, LLC 10700 Wheat First Drive PO Box 5500 Glen Allen, VA 23058 |
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8,000 |
$32,000 |
9,805,987 |
12/14/2007 |
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Common Stock |
First Clearing, LLC 10700 Wheat First Drive PO Box 5500 Glen Allen, VA 23058 |
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500 |
$2,000 |
9,805,987 |
12/17/2007 |
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Common Stock |
First Clearing, LLC 10700 Wheat First Drive PO Box 5500 Glen Allen, VA 23058 |
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8,950 |
$35,800 |
9,805,987 |
12/18/2007 |
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Common Stock |
First Clearing, LLC 10700 Wheat First Drive PO Box 5500 Glen Allen, VA 23058 |
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8,500 |
$34,000 |
9,805,987 |
12/19/2007 |
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Common Stock |
First Clearing, LLC 10700 Wheat First Drive PO Box 5500 Glen Allen, VA 23058 |
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64,050 |
$256,200 |
9,805,987 |
12/20/207 |
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INSTRUCTIONS:
1 |
(a) |
Name of issuer |
3 |
(a) |
Title of the class of securities to be sold |
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(b) |
Issuers I.R.S. Identification Number |
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(b) |
Name and address of each broker through whom the securities are intended to be sold |
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(c) |
Issuers S.E.C. file number, if any |
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(c) |
Number of shares or other units to be sold (if debt securities, give the aggregate face amount) |
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(d) |
Issuers address, including zip code |
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(d) |
Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice |
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(e) |
Issuers telephone number, including area code |
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(e) |
Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer |
2 |
(a) |
Name of person for whose account the securities are to be sold |
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(f) |
Approximate date on which the securities are to be sold |
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(b) |
Such persons I.R.S. identification number, if such person is an entity |
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(g) |
Name of each securities exchange, if any, on which the securities are intended to be sold |
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(c) |
Such persons relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) |
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(d) |
Such persons address, including zip code |
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Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
SEC 1147 (01-07)
TABLE I SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:
Title of the Class |
Date you Acquired |
Nature of Acquisition Transaction |
Name of
Person from Whom Acquired |
Amount of Securities Acquired |
Date of Payment |
Nature of Payment |
Common Stock |
09/01/00 |
Purchase of Convertible preferred stock with subsequent conversion into common stock |
Photonic Products Group, Inc. |
48,000 |
09/01/01 |
Cash |
Common Stock |
12/20/07 |
Simultanious exercise of stock option grant and sale of common stock |
Photonic Products Group, Inc. |
42,000 |
12/20/07 |
Cash |
INSTRUCTIONS: |
If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. |
TABLE II SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
Name and Address of Seller |
Title of Securities Sold |
Date of Sale |
Amount of Securities Sold |
Gross Proceeds |
Daniel Lehrfeld 181 Legrand Avenue Northvale, NJ 07647 |
Common Stock |
09/14/2007 |
8,000 |
$19,400 |
Daniel Lehrfeld 181 Legrand Avenue Northvale, NJ 07647 |
Common Stock |
09/17/2007 |
500 |
$1,150 |
Daniel Lehrfeld 181 Legrand Avenue Northvale, NJ 07647 |
Common Stock |
09/18/2007 |
8,950 |
$20,410 |
Daniel Lehrfeld 181 Legrand Avenue Northvale, NJ 07647 |
Common Stock |
09/19/2007 |
8,500 |
$18.800 |
Daniel Lehrfeld 181 Legrand Avenue Northvale, NJ 07647 |
Common Stock |
09/20/2007 |
64,050 |
$152,625 |
Daniel Lehrfeld 181 Legrand Avenue Northvale, NJ 07647 |
Common Stock |
11/28/2007 |
8,000 |
$28,000 |
REMARKS: For this series of transactions, at no time will the total number of securities sold in the prior 90 days exceed 1% of the total number of Common Shares Outstanding.
INSTRUCTIONS: |
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ATTENTION: |
See the definition of person in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. |
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The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. |
12/12/2007 |
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/s/ Daniel Lehrfeld |
DATE OF NOTICE |
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(SIGNATURE) |
The
notice shall be signed by the person for whose account the securities are to be
sold. At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |
SEC 1147 (01-04)