- Accession Number:
- Form Type:
- Zero Holdings:
- Publication Time:
- 2013-03-27 19:21:59
- Reporting Period:
- Filing Date:
- Accepted Time:
- 2013-03-27 19:21:59
- SEC Url:
- Form 4 Filing
|Cik||Name||Symbol||Sector (SIC)||IRS No|
|740664||R F Industries Ltd||RFIL||Electronic Connectors (3678)||880168936|
|Cik||Name||Reported Address||Insider Title||Director||Officer||Large Shareholder||Other|
|1423093||David Sandberg||304 Park Ave South |
New York NY 10010
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||2013-03-25||43,365||$6.70||200||No||4||S||Indirect||By The Red Oak Fund, L.P.|
|Common Stock||Disposition||2013-03-25||29,307||$6.70||0||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|
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|
- 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.
- 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.
- 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.
- This transaction was executed in multiple trades at prices ranging from $6.57 to $6.93. 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.
- Stock option granted to Mr. Sandberg during his term as a non-employee director (i.e. a director who is not employed by the Issuer as an officer or employee).