-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IUxlKz/R0o1ftiznRtmlA2+xHdIzZ2E6uaiATTibibaK6vxQbNQynHaeLLIatdfz /XborbTzYH3S3ATMk0mDQA== 0000911420-07-000618.txt : 20070921 0000911420-07-000618.hdr.sgml : 20070921 20070921165408 ACCESSION NUMBER: 0000911420-07-000618 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070921 DATE AS OF CHANGE: 20070921 GROUP MEMBERS: WYNNEFIELD CAPITAL MANAGEMENT, LLC GROUP MEMBERS: WYNNEFIELD CAPITAL, INC. GROUP MEMBERS: WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. GROUP MEMBERS: WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I GROUP MEMBERS: WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Summer Infant, Inc. CENTRAL INDEX KEY: 0001314772 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 201994619 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-80724 FILM NUMBER: 071129792 BUSINESS ADDRESS: STREET 1: 1275 PARK EAST DRIVE CITY: WOONSOCKET STATE: RI ZIP: 02895 BUSINESS PHONE: 401-334-9966 MAIL ADDRESS: STREET 1: 1275 PARK EAST DRIVE CITY: WOONSOCKET STATE: RI ZIP: 02895 FORMER COMPANY: FORMER CONFORMED NAME: KBL Healthcare Acquisition Corp. II DATE OF NAME CHANGE: 20050119 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WYNNEFIELD PARTNERS SMALL CAP VALUE LP I CENTRAL INDEX KEY: 0001251565 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 450 SEVENTH AVE STREET 2: STE 509 CITY: NEW YORK STATE: NY ZIP: 10123 BUSINESS PHONE: 2129600814 SC 13G 1 d238534488.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13G (Rule 13-d-102) (Amendment No. ) Summer Infant, Inc. ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, $.0001 Par Value Per Share ------------------------------------------------------------------------------- (Title of Class of Securities) 865646103 ------------------------------------------------------------------------------ (CUSIP Number of Class of Securities) September 11, 2007 ------------------------------------------------------------------------------ (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] RULE 13d-1(b) [X] RULE 13d-1(c) [ ] RULE 13d-1(d) CUSIP No. 865646103 Page 2 of 9 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS Wynnefield Partners Small Cap Value, L.P. ____________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] Reporting person is affiliated with other persons. ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delawre ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 1,467,765 Shares _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 0 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 1,467,765 Shares _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 0 ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,467,765 Shares ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.0% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* (See Instructions) PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 865646103 Page 3 of 9 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS Wynnefield Partners Small Cap Value, L.P. I ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] Reporting person is affiliated with other persons. ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 1,467,765 Shares _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 1,467,765 Shares _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,467,765 Shares ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.0% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* (See Instructions) PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 865646103 Page 4 of 9 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS Wynnefield Small Cap Value Offshore Fund, Ltd. ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] Reporting person is affiliated with other persons. ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 1,467,765 Shares _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 1,467,765 Shares _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,467,765 Shares ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.0% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* (See Instructions) CO ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 865646103 Page 5 of 9 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS Wynnefield Capital Mangement, LLC ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] Reporting person is affiliated with other persons. ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION New York ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 1,467,765 Shares(1) _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 1,467,765 Shares(1) _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,467,765 Shares(1) ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.0%(1) ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* (See Instructions) OO (Limited Liability Company) ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Wynnefield Capital Management, LLC holds an indirect beneficial interest in these shares which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. and Wynnefield Partners Small Cap Value, L.P. I. CUSIP No. 865646103 Page 6 of 9 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS Wynnefield Capital, Inc. ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] Reporting person is affiliated with other persons. ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 1,467,765 Shares(1) _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 1,467,765 Shares(1) _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,467,765 Shares(1) ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.0%(1) ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* (See Instructions) CO ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Wynnefield Capital, Inc. holds an indirect beneficial interest in these shares which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ITEM 1(a). Name of Issuer: Summer Infant, Inc. ITEM 1(b). Address of Issuer's Principal Executive Offices: 582 Great Road North Smithfield, RI 02896 --------------------------------------------------------------------- ITEM 2(a). Names of Persons Filing: Wynnefield Partners Small Cap Value, L.P. ("Partners") ------------------------------------------------------------------- Wynnefield Partners Small Cap Value, L.P. I ("Partners I") ------------------------------------------------------------------- Wynnefield Small Cap Value Offshore Fund, Ltd. ("Fund") ------------------------------------------------------------------- Wynnefield Capital Management, LLC ("WCM") ------------------------------------------------------------------- Wynnefield Capital, Inc. ("WCI") ------------------------------------------------------------------- ITEM 2(b). Address of Principal Business Office Or, If None, Residence: 450 Seventh Avenue, Suite 509, New York, New York 10123 ------------------------------------------------------------------- ITEM 2(c). Citizenship: Partners and Partners I are Delaware Limited Partnerships ------------------------------------------------------------------- Fund and WCI are Cayman Islands Companies ------------------------------------------------------------------- WCM is a New York Limited Liability Company ------------------------------------------------------------------- ITEM 2(d). Title of Class of Securities: Common Stock, $.0001 Par Value Per Share ------------------------------------------------------------------- ITEM 2(e). CUSIP Number: 865646103 ITEM 3. If this Statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or (c), check whether the person filing is: None of the reporting persons is an entity specified in Rule 13d-1(b)(1)(ii). ITEM 4. Ownership: (a) Amount beneficially owned by all reporting persons: 1,467,765 Shares (b) Percent of class: 10.0% of Common Stock (c) Number of shares as to which the reporting persons have: (i) sole power to vote or to direct the vote: 1,467,765 Shares (ii) shared power to vote or to direct the vote (iii) sole power to dispose or to direct the disposition: 1,467,765 Shares (iv) shared power to dispose or to direct the disposition ITEM 5. Ownership of five percent or less of a class. Not applicable. ITEM 6. Ownership of more than five percent on behalf of another person. Not applicable. ITEM 7. Identification and classification of the subsidiary which acquired the security being reported on by the parent holding company. Not applicable. ITEM 8. Identification and classification of members of the group. None of the reporting persons who have filed this schedule is a person, as defined in Rule 13d-1(b)(1)(ii), promulgated pursuant to the Securities Exchange Act of 1934. ITEM 9. Notice of dissolution of group. Not applicable. ITEM 10. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection or as a participant in any transaction having that purpose or effect. Dated: September 21, 2007 WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. By: Wynnefield Capital Management, LLC, General Partner By:/s/Nelson Obus -------------------------------------------- Nelson Obus, Managing Member WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I By: Wynnefield Capital Management, LLC, General Partner By:/s/Nelson Obus -------------------------------------------- Nelson Obus, Managing Member WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD. By: Wynnefield Capital, Inc. By:/s/Nelson Obus -------------------------------------------- Nelson Obus, President WYNNEFIELD CAPITAL MANAGEMENT, LLC By:/s/Nelson Obus ----------------------------------------------- Nelson Obus, Managing Member WYNNEFIELD CAPITAL, INC. By:/s/Nelson Obus ----------------------------------------------- Nelson Obus, President -----END PRIVACY-ENHANCED MESSAGE-----