Filing Details

Accession Number:
0001325533-13-000016
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-03-20 17:41:42
Reporting Period:
2013-03-18
Filing Date:
2013-03-20
Accepted Time:
2013-03-20 17:41:42
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
740664 R F Industries Ltd RFIL Electronic Connectors (3678) 880168936
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1423093 David Sandberg 304 Park Ave South
11Th Floor
New York NY 10010
Yes No No 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 Disposition 2013-03-18 34,583 $6.28 55,544 No 4 S Indirect By The Red Oak Fund, L.P.
Common Stock Disposition 2013-03-18 23,152 $6.28 37,328 No 4 S Indirect By Pinnacle Fund, LLLP
Common Stock Disposition 2013-03-19 11,979 $6.15 43,565 No 4 S Indirect By The Red Oak Fund, L.P.
Common Stock Disposition 2013-03-19 8,021 $6.15 29,307 No 4 S Indirect By Pinnacle Fund, LLLP
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By The Red Oak Fund, L.P.
No 4 S Indirect By Pinnacle Fund, LLLP
No 4 S Indirect By The Red Oak Fund, L.P.
No 4 S Indirect By Pinnacle Fund, LLLP
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option $4.12 2012-08-30 2017-08-30 1,911 1,911 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-08-30 1,911 1,911 Direct
Footnotes
  1. Red Oak Partners, LLC ("ROP") serves as the general partner of The Red Oak Fund, LP, a Delaware limited partnership (the "Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Fund's portfolio manager.
  2. ROP serves as a managing member of Pinnacle Partners, LLC, a Colorado limited liability limited company ("Pinnacle Partners"). Pinnacle Partners is the general partner of Pinnacle Fund, LLLP, a Colorado limited liability limited partnership ("Pinnacle Fund"), the direct owner of the subject securities.
  3. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose.
  4. This transaction was executed in multiple trades at prices ranging from $6.15 to $6.39. The price reported in Column 4 of Table I reflects the weighted average sales price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.
  5. This transaction was executed in multiple trades at prices ranging from $6.10 to $6.20. The price reported in Column 4 of Table I reflects the weighted average sales price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected.
  6. Open market transactions pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
  7. Stock option granted to Mr. Sandberg in his capacity as a non-employee director (i.e. a director who is not employed by the Issuer as an officer or employee).