UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q/A Quarterly Report Pursuant to Section 13 or 15 (d) of the Securities Exchange Act of 1934 For Quarterly Period Ended: January 31, 1997 Commission File Number: 34-11686 PLASTIC SPECIALTIES AND TECHNOLOGIES, INC. (Exact name of Registrant as specified in its charter) DELAWARE 22-2515864 (State or other jurisdiction of (IRS Employer incorporation or organization) Identification No.) 65 Railroad Avenue, Ridgefield, New Jersey 07657 (Address of principal executive offices) Registrant's telephone number, including area code: (201)941-6550 Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15 (d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days: Yes X No As of May 2, 1997, there were 8,319,833 shares of common stock outstanding of which 1,441,500 of such shares were held by unaffiliated persons. The Company is not aware of the market value of the unaffiliated shares. Part II: OTHER INFORMATION Item 1. Legal Proceedings: No reportable events Item 2. Changes in Securities: None Item 3. Default upon Senior Securities: None Item 4. Submission of Matters to a Vote of Security Holders: None Item 5. Other Information: None Item 6. Exhibits and Reports on Form 8-K: (a) Exhibits (27) Financial Data Schedule for the six months ended January 31, 1997 (b) None 14 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly cause this report to be signed on its behalf by the undersigned thereunto duly authorized. PLASTIC SPECIALTIES AND TECHNOLOGIES, INC. Registrant Date: May 2, 1997 By: /s/ Thomas V. Gilboy -------------------------- Thomas V. Gilboy Chief Financial Officer 15