4/A//SEC Filing
RCM TECHNOLOGIES INC 4/A
Accession 0000921895-13-002525
$RCMTCIK 0000700841operating
Filed
Dec 30, 7:00 PM ET
Accepted
Dec 31, 1:24 PM ET
Size
24.9 KB
Accession
0000921895-13-002525
Insider Transaction Report
Form 4/AAmended
O'CONNELL MICHAEL
10% Owner
Transactions
- Purchase
Common Stock, $0.05 par value
2013-03-15$5.66/sh+19,200$108,634→ 1,332,410 total(indirect: See footnotes) - Purchase
Common Stock, $0.05 par value
2013-03-19$5.71/sh+21,365$122,058→ 1,353,775 total(indirect: See footnotes)
Holdings
- 266,074(indirect: See footnotes)
Common Stock, $0.05 par value
- 22,000
Common Stock, $0.05 par value
- 1,000
Common Stock, $0.05 par value
Vizi Bradley
10% Owner
Transactions
- Purchase
Common Stock, $0.05 par value
2013-03-19$5.71/sh+21,365$122,058→ 1,353,775 total(indirect: See footnotes) - Purchase
Common Stock, $0.05 par value
2013-03-15$5.66/sh+19,200$108,634→ 1,332,410 total(indirect: See footnotes)
Holdings
- 1,000
Common Stock, $0.05 par value
- 22,000
Common Stock, $0.05 par value
- 266,074(indirect: See footnotes)
Common Stock, $0.05 par value
M2O, Inc.
10% Owner
Transactions
- Purchase
Common Stock, $0.05 par value
2013-03-19$5.71/sh+21,365$122,058→ 1,353,775 total(indirect: See footnotes) - Purchase
Common Stock, $0.05 par value
2013-03-15$5.66/sh+19,200$108,634→ 1,332,410 total(indirect: See footnotes)
Holdings
- 1,000
Common Stock, $0.05 par value
- 22,000
Common Stock, $0.05 par value
- 266,074(indirect: See footnotes)
Common Stock, $0.05 par value
Transactions
- Purchase
Common Stock, $0.05 par value
2013-03-15$5.66/sh+19,200$108,634→ 1,332,410 total(indirect: See footnotes) - Purchase
Common Stock, $0.05 par value
2013-03-19$5.71/sh+21,365$122,058→ 1,353,775 total(indirect: See footnotes)
Holdings
- 266,074(indirect: See footnotes)
Common Stock, $0.05 par value
- 1,000
Common Stock, $0.05 par value
- 22,000
Common Stock, $0.05 par value
IRS Partnership No. 19, L.P.
10% Owner
Transactions
- Purchase
Common Stock, $0.05 par value
2013-03-15$5.66/sh+19,200$108,634→ 1,332,410 total(indirect: See footnotes) - Purchase
Common Stock, $0.05 par value
2013-03-19$5.71/sh+21,365$122,058→ 1,353,775 total(indirect: See footnotes)
Holdings
- 22,000
Common Stock, $0.05 par value
- 266,074(indirect: See footnotes)
Common Stock, $0.05 par value
- 1,000
Common Stock, $0.05 par value
Leonetti/O'Connell Family Foundation
10% Owner
Transactions
- Purchase
Common Stock, $0.05 par value
2013-03-15$5.66/sh+19,200$108,634→ 1,332,410 total(indirect: See footnotes) - Purchase
Common Stock, $0.05 par value
2013-03-19$5.71/sh+21,365$122,058→ 1,353,775 total(indirect: See footnotes)
Holdings
- 266,074(indirect: See footnotes)
Common Stock, $0.05 par value
- 1,000
Common Stock, $0.05 par value
- 22,000
Common Stock, $0.05 par value
Transactions
- Purchase
Common Stock, $0.05 par value
2013-03-15$5.66/sh+19,200$108,634→ 1,332,410 total(indirect: See footnotes) - Purchase
Common Stock, $0.05 par value
2013-03-19$5.71/sh+21,365$122,058→ 1,353,775 total(indirect: See footnotes)
Holdings
- 266,074(indirect: See footnotes)
Common Stock, $0.05 par value
- 22,000
Common Stock, $0.05 par value
- 1,000
Common Stock, $0.05 par value
Kiper Christopher S
10% Owner
Transactions
- Purchase
Common Stock, $0.05 par value
2013-03-19$5.71/sh+21,365$122,058→ 1,353,775 total(indirect: See footnotes) - Purchase
Common Stock, $0.05 par value
2013-03-15$5.66/sh+19,200$108,634→ 1,332,410 total(indirect: See footnotes)
Holdings
- 266,074(indirect: See footnotes)
Common Stock, $0.05 par value
- 1,000
Common Stock, $0.05 par value
- 22,000
Common Stock, $0.05 par value
Footnotes (7)
- [F1]This Form 4/A has been filed solely to include Legion Partners Asset Management, LLC as a Reporting Person (as defined below) as it was inadvertently excluded from the original Form 4 filed on March 19, 2013.
- [F2]This Form 4 is being filed jointly by the reporting persons identified herein (each a "Reporting Person" and collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that owns more than 10% of the Issuer's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
- [F3]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.605 to $5.73. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote 3 to this Form 4.
- [F4]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.6764 to $5.75. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote 4 to this Form 4.
- [F5]IRS Partners No. 19, L.P., a Delaware limited partnership ("IRS 19"), directly owns these shares of common stock ("Common Stock") of RCM Technologies, Inc. (the "Issuer"). M2O, Inc., a California corporation ("M2O"), is the general partner of IRS 19. The Michael F. O'Connell and Margo L. O'Connell Revocable Trust (the "Trust") is the sole voting shareholder of M2O and Michael O'Connell, an individual, controls all investment decisions with respect to the Trust. IRS 19, M2O, the Trust and Mr. O'Connell may therefore be deemed to have shared voting and dispositive power over the Common Stock owned by IRS 19.
- [F6]The Leonetti/O'Connell Family Foundation, a Delaware non-profit corporation (the "Foundation"), directly owns these shares. The investment decisions of the Foundation are controlled by Mr. O'Connell (Mr. O'Connell, collectively with IRS 19, the Foundation, M2O and the Trust, the "O'Connell Entities") and by virtue of such relationship, the Foundation and Mr. O'Connell may be deemed to have shared voting and dispositive power over the Common Stock owned by the Foundation. IRS 19, M2O and the Trust disclaim beneficial ownership of the Common Stock of the Issuer owned by the Foundation except to the extent of their pecuniary interest therein. The Foundation disclaims beneficial ownership of the shares of Common Stock of the Issuer owned by IRS 19 except to the extent of its pecuniary interest therein.
- [F7]IRS 19 and the Foundation have each entered into an investment advisory agreement with Legion Partners Asset Management, LLC , a Delaware limited liability company ("Legion Partners"), pursuant to which Christopher Kiper ("Mr. Kiper") and Bradley Vizi ("Mr. Vizi") on behalf of Legion Partners, exclusively manage IRS 19's and the Foundation's investment in the Issuer and have certain discretion with respect to purchase and sales of Common Stock of the Issuer. As a result, Legion Partners, Mr. Kiper and Mr. Vizi may be deemed to have shared dispositive power with respect to the shares held by IRS 19 and the Foundation. Legion Partners, Mr. Kiper and Mr. Vizi each disclaims beneficial ownership of shares of Common Stock of the Issuer owned by each other except to the extent of his or its pecuniary interest therein. Mr. Kiper directly owns 22,000 shares of Common Stock of the Issuer and Mr. Vizi directly owns 1,000 shares of Common Stock of the Issuer.
Documents
Issuer
RCM TECHNOLOGIES INC
CIK 0000700841
Entity typeoperating
IncorporatedNV
Related Parties
1- filerCIK 0000700841
Filing Metadata
- Form type
- 4/A
- Filed
- Dec 30, 7:00 PM ET
- Accepted
- Dec 31, 1:24 PM ET
- Size
- 24.9 KB