Statement of Changes in Beneficial Ownership (4)
June 02 2020 - 4:22PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Vizi Bradley |
2. Issuer Name and Ticker or Trading Symbol
RCM TECHNOLOGIES INC
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RCMT
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) __X__ Other (specify below) Executive Chairman & President
/
See Explanation of Responses |
(Last)
(First)
(Middle)
C/O RCM TECHNOLOGIES, INC., 2500 MCCLELLAN AVENUE, SUITE 350 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/2/2020 |
(Street)
PENNSAUKEN, NJ 08109
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock (1)(2) | 6/2/2020 | | S | | 2692065 | D | $1.2000 | 0 | I | See Footnote (3) |
Common Stock (1)(2) | 6/2/2020 | | S | | 266074 | D | $1.2000 | 0 | I | See Footnote (4) |
Common Stock (1)(2) | 6/2/2020 | | P | | 850000 | A | $1.2000 | 1162526 (5) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | This Form 4 is being filed jointly by IRS Partners No. 19, L.P. ("IRS 19"), M2O, Inc., The Michael F. O'Connell and Margo L. O'Connell Revocable Trust, The Leonetti/O'Connell Family Foundation, a Delaware non-profit corporation (the "Foundation"), Michael O'Connell, Harvest Financial Corporation and Bradley Vizi (each a "Reporting Person" and collectively, the "Reporting Persons"). Effective June 2, 2020, the Reporting Persons ceased to be members of a Section 13(d) group. Mr. Vizi will continue to file Form 4s independently. |
(2) | 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. |
(3) | Securities of the Issuer previously owned by IRS 19. |
(4) | Securities of the Issuer previously owned by the Foundation. |
(5) | Includes 150,000 shares of Common Stock underlying certain restricted stock units, which will vest annually in three equal installments beginning on January 15, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Vizi Bradley C/O RCM TECHNOLOGIES, INC. 2500 MCCLELLAN AVENUE, SUITE 350 PENNSAUKEN, NJ 08109 | X |
| Executive Chairman & President | See Explanation of Responses |
Michael F. O'Connell & Margo L. O'Connell Revocable Trust 515 S. FIGUEROA STREET, SUITE 1050 LOS ANGELES, CA 90071 |
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| See Explanation of Responses |
O'CONNELL MICHAEL 515 S. FIGUEROA STREET SUITE 1050 LOS ANGELES, CA 90071 |
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| See Explanation of Responses |
HARVEST FINANCIAL CORPORATION 1600 BENEDUM-TREES BUILDING 223 FOURTH AVENUE PITTSBURGH, PA 15222 |
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| See Explanation of Responses |
IRS Partners No. 19, L.P. 515 S. FIGUEROA STREET, SUITE 1050 LOS ANGELES, CA 90071 |
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| See Explanation of Responses |
M2O, Inc. 515 S. FIGUEROA STREET, SUITE 1050 LOS ANGELES, CA 90071 |
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| See Explanation of Responses |
Leonetti/O'Connell Family Foundation 515 S. FIGUEROA STREET, SUITE 1050 LOS ANGELES, CA 90071 |
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| See Explanation of Responses |
Signatures
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Bradley S. Vizi | | 6/2/2020 |
**Signature of Reporting Person | Date |
/s/ Frank D. Ruscetti as Executive Chairman of Harvest Financial Corporation | | 6/2/2020 |
**Signature of Reporting Person | Date |
/s/ Bradley S. Vizi s Attorney-in-Fact for Michael O'Connell | | 6/2/2020 |
**Signature of Reporting Person | Date |
The Michael F. O'Connell & Margo L. O'Connell Revocable Trust; By: /s/ Bradley S. Vizi as Attorney-in-Fact for Michael O'Connell, Trustee | | 6/2/2020 |
**Signature of Reporting Person | Date |
M2O, Inc.; By: /s/ Bradley S. Vizi as Attorney-in-Fact for Michael O'Connell, Chief Executive Officer | | 6/2/2020 |
**Signature of Reporting Person | Date |
IRS Partners No. 19, L.P.; By: M2O, Inc., its General Partner; By: /s/Bradley S. Vizi as Attorney-in-Fact for Michael O'Connell, Chief Executive Officer | | 6/2/2020 |
**Signature of Reporting Person | Date |
The Leonetti/O'Connell Family Foundation; By: /s/ Bradley S. Vizi as Attorney-in-Fact for Michael O'Connell, Secretary, Chief Financial Officer and Director | | 6/2/2020 |
**Signature of Reporting Person | Date |
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