You can access the original SEC filing by clicking here.
Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Horton Capital Management | 1,035,542 | 1,035,542 | 5.1% | |||
| Joseph M. Manko, Jr | 1,035,542 | 1,035,542 | 5.1% | |||
| Maplewood Advisors IM | 1,022,665 | 1,022,665 | 5.0% | |||
| Maplewood Partners | 1,022,665 | 1,022,665 | 5.0% | |||
| Darren C. Wallis | 1,022,665 | 1,022,665 | 5.0% | |||
| Horton Capital Partners | 730,820 | 730,820 | 3.6% | |||
| Sierra Capital Investments | 707,845 | 707,845 | 3.5% | |||
| Maplewood Global Partners | 707,845 | 707,845 | 3.5% | |||
| AVI Capital Partners | 10,098 | 10,098 | Less than 1% | |||
| Horton Capital Partners Fund | 22,975 | 22,975 | Less than 1% | |||
| Maplewood Advisors GP | 10,098 | 10,098 | Less than 1% |
Page 1 of 19 – SEC Filing
UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED
IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(a)
AND AMENDMENTS THERETO FILED PURSUANT TO
§ 240.13d-2(a)
(Amendment No. 1)1
Safeguard Scientifics, Inc.
(Name
of Issuer)
Common Stock, Par Value $0.10 Per Share
(Title of Class of Securities)
786449207
(CUSIP Number)
JOSEPH M.
MANKO, JR.
HORTON
CAPITAL PARTNERS, LLC
1717
Arch Street, Suite 3920
Philadelphia,
PA 19103
(215)
399-5402
DARREN
C. WALLIS
MAPLEWOOD
PARTNERS, LLC
555.
E. Lancaster Avenue, Suite 520
Radnor,
PA 19087
(610)
816-6660
[With
a copy to]
ANDREW
FREEDMAN, ESQ.
MEAGAN
REDA, ESQ.
OLSHAN
FROME WOLOSKY LLP
1325
Avenue of the Americas
New
York, New York 10019
(212)
451-2300
(Name, Address and Telephone Number of Person
Authorized to Receive Notices
and Communications)
February 8, 2018
(Date of Event Which Requires
Filing of This Statement)
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 §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following
box ¨.
Note: Schedules
filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See
§ 240.13d-7 for other parties to whom copies are to be sent.
1
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).
