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Filing Details

Accession Number:
0001144204-12-065326
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-11-28 16:58:32
Reporting Period:
2012-11-26
Filing Date:
2012-11-28
Filing Date Changed:
2012-11-28
Accepted Time:
2012-11-28 16:58:32
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1314772 Summer Infant Inc. SUMR Miscellaneous Manufacturing Industries (3990) 201994619
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
899083 Wynnefield Partners Small Cap Value Lp 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1017043 Nelson Obus 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1030806 Ltd Fund Offshore Value Cap Small Wynnefield 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1056835 Wynnefield Capital Management Llc 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1251565 Wynnefield Partners Small Cap Value Lp I 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1251567 Wynnefield Capital Inc 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1251568 Joshua Landes 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1289453 Wynnefield Capital, Inc. Profit Sharing Plan 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.0001 Per Share Acquisiton 2012-11-26 1,812 $1.64 891,609 No 4 P Direct
Common Stock, Par Value $0.0001 Per Share Acquisiton 2012-11-26 4,188 $1.64 2,114,391 No 4 P Indirect See Footnote
Common Stock, Par Value $0.0001 Per Share Acquisiton 2012-11-27 1,208 $1.77 892,817 No 4 P Direct
Common Stock, Par Value $0.0001 Per Share Acquisiton 2012-11-27 2,792 $1.77 2,117,183 No 4 P Indirect See Footnote
Common Stock, Par Value $0.0001 Per Share Acquisiton 2012-11-28 4,530 $1.69 897,347 No 4 P Direct
Common Stock, Par Value $0.0001 Per Share Acquisiton 2012-11-28 10,470 $1.69 2,127,653 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Indirect See Footnote
No 4 P Direct
No 4 P Indirect See Footnote
No 4 P Direct
No 4 P Indirect See Footnote
Footnotes
  1. The Reporting Person directly beneficially owns 897,347 shares of common stock, $0.0001 par value per share ("Common Stock") of Summer Infant, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
  2. The Reporting Person has an indirect beneficial ownership interest in 1,331,861 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as member of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.
  3. The Reporting Person has an indirect beneficial ownership interest in 710,792 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as member of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.
  4. The Reporting Person has an indirect beneficial ownership interest in 85,000 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as member of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Mr. Obus, as portfolio manager, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.
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