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4//SEC Filing

O'CONNELL MICHAEL 4

Accession 0000921895-17-002840

CIK 0000700841other
View on SEC.govCompany Profile

Filed

Dec 11, 7:00 PM ET

Accepted

Dec 12, 7:39 PM ET

Size

19.0 KB

Accession

0000921895-17-002840

Insider Transaction Report

Form 4
Period: 2017-12-08
RCM TECHNOLOGIES INCRCMT
Leonetti/O'Connell Family Foundation
10% Owner
Transactions
  • Award

    Common Stock, $0.05 par value

    2017-12-08$6.85/sh+5,839$39,997→ 37,378 total
Holdings

  • Common Stock, $0.05 par value

    (indirect: See footnotes)
    266,074

  • Common Stock, $0.05 par value

    (indirect: See footnotes)
    2,055,065
Vizi Bradley
10% Owner
Transactions
  • Award

    Common Stock, $0.05 par value

    2017-12-08$6.85/sh+5,839$39,997→ 37,378 total
Holdings

  • Common Stock, $0.05 par value

    (indirect: See footnotes)
    2,055,065

  • Common Stock, $0.05 par value

    (indirect: See footnotes)
    266,074
M2O, Inc.
10% Owner
Transactions
  • Award

    Common Stock, $0.05 par value

    2017-12-08$6.85/sh+5,839$39,997→ 37,378 total
Holdings

  • Common Stock, $0.05 par value

    (indirect: See footnotes)
    2,055,065

  • Common Stock, $0.05 par value

    (indirect: See footnotes)
    266,074
O'CONNELL MICHAEL
10% Owner
Transactions
  • Award

    Common Stock, $0.05 par value

    2017-12-08$6.85/sh+5,839$39,997→ 37,378 total
Holdings

  • Common Stock, $0.05 par value

    (indirect: See footnotes)
    2,055,065

  • Common Stock, $0.05 par value

    (indirect: See footnotes)
    266,074
Michael F. O'Connell & Margo L. O'Connell Revocable Trust
10% Owner
Transactions
  • Award

    Common Stock, $0.05 par value

    2017-12-08$6.85/sh+5,839$39,997→ 37,378 total
Holdings

  • Common Stock, $0.05 par value

    (indirect: See footnotes)
    2,055,065

  • Common Stock, $0.05 par value

    (indirect: See footnotes)
    266,074
IRS Partnership No. 19, L.P.
10% Owner
Transactions
  • Award

    Common Stock, $0.05 par value

    2017-12-08$6.85/sh+5,839$39,997→ 37,378 total
Holdings

  • Common Stock, $0.05 par value

    (indirect: See footnotes)
    2,055,065

  • Common Stock, $0.05 par value

    (indirect: See footnotes)
    266,074
Footnotes (6)
  • [F1]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.
  • [F2]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.
  • [F3]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.
  • [F4]IRS 19 and the Foundation have each entered into an investment advisory agreement with Harvest Financial Corporation ("Harvest"), pursuant to which Bradley Vizi ("Mr. Vizi") on behalf of Harvest, exclusively manages IRS 19's and the Foundation's investment in the Issuer and has certain discretion with respect to purchase and sales of Common Stock of the Issuer. As a result, Harvest and Mr. Vizi may be deemed to have shared dispositive power with respect to the shares held by IRS 19 and the Foundation. Harvest 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.
  • [F5]Granted in the form of restricted stock units (RSUs) as compensation for service on the Board of Directors. The RSUs will vest on December 8, 2018.
  • [F6]Includes 6,250 RSUs that vested on 12/27/16 and 8,000 RSUs that vested on 12/3/16.

Documents

1 file

Issuer

RCM TECHNOLOGIES INC

CIK 0000700841

→
Entity typeother

Related Parties

1
  • filerCIK 0001539145

Filing Metadata

Form type
4
Filed
Dec 11, 7:00 PM ET
Accepted
Dec 12, 7:39 PM ET
Size
19.0 KB
View on SEC.gov