4//SEC Filing
Vizi Bradley 4
Accession 0001567619-20-001241
CIK 0000700841other
Filed
Jan 16, 7:00 PM ET
Accepted
Jan 17, 4:26 PM ET
Size
22.6 KB
Accession
0001567619-20-001241
Insider Transaction Report
Form 4
Vizi Bradley
10% Owner
Transactions
- Award
Common Stock
2020-01-16+40,000→ 162,526 total - Award
Common Stock
2020-01-16+150,000→ 312,526 total
Holdings
- 266,074(indirect: See Footnotes)
Common Stock
- 2,692,065(indirect: See Footnotes)
Common Stock
O'CONNELL MICHAEL
10% Owner
Transactions
- Award
Common Stock
2020-01-16+150,000→ 312,526 total - Award
Common Stock
2020-01-16+40,000→ 162,526 total
Holdings
- 2,692,065(indirect: See Footnotes)
Common Stock
- 266,074(indirect: See Footnotes)
Common Stock
M2O, Inc.
10% Owner
Transactions
- Award
Common Stock
2020-01-16+150,000→ 312,526 total - Award
Common Stock
2020-01-16+40,000→ 162,526 total
Holdings
- 2,692,065(indirect: See Footnotes)
Common Stock
- 266,074(indirect: See Footnotes)
Common Stock
Leonetti/O'Connell Family Foundation
10% Owner
Transactions
- Award
Common Stock
2020-01-16+40,000→ 162,526 total - Award
Common Stock
2020-01-16+150,000→ 312,526 total
Holdings
- 266,074(indirect: See Footnotes)
Common Stock
- 2,692,065(indirect: See Footnotes)
Common Stock
Transactions
- Award
Common Stock
2020-01-16+150,000→ 312,526 total - Award
Common Stock
2020-01-16+40,000→ 162,526 total
Holdings
- 266,074(indirect: See Footnotes)
Common Stock
- 2,692,065(indirect: See Footnotes)
Common Stock
Transactions
- Award
Common Stock
2020-01-16+150,000→ 312,526 total - Award
Common Stock
2020-01-16+40,000→ 162,526 total
Holdings
- 2,692,065(indirect: See Footnotes)
Common Stock
- 266,074(indirect: See Footnotes)
Common Stock
IRS Partnership No. 19, L.P.
10% Owner
Transactions
- Award
Common Stock
2020-01-16+40,000→ 162,526 total - Award
Common Stock
2020-01-16+150,000→ 312,526 total
Holdings
- 266,074(indirect: See Footnotes)
Common Stock
- 2,692,065(indirect: See Footnotes)
Common Stock
Footnotes (8)
- [F1]1. 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]1. 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]1. 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]1. 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]Represent shares acquired by the reporting person upon the vesting of performance stock units granted to the reporting person in March 2019 and previously reported in a Current Report on Form 8-K filed by the issuer in March 2019.
- [F6]Granted in the form of restricted stock units as employment compensation, and subject to vesting in three equal installments on first three anniversaries of the date of grant.
- [F7]Includes 3,000 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.
- [F8]Includes 35,000 restricted stock units that vested in 2019 and 2020; these restricted stock units were reflected in footnote 5 to the reporting person's Form 4 filed on March 18, 2019.
Documents
Issuer
RCM TECHNOLOGIES INC
CIK 0000700841
Entity typeother
Related Parties
1- filerCIK 0001556313
Filing Metadata
- Form type
- 4
- Filed
- Jan 16, 7:00 PM ET
- Accepted
- Jan 17, 4:26 PM ET
- Size
- 22.6 KB