FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/24/2003 |
3. Issuer Name and Ticker or Trading Symbol
SENECA FOODS CORP /NY/ [ SENEA* ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Common Stock | 217,892 | D(1) | |
Class B Common Stock | 212,642 | D(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Conv. Participating Pref. Stock, par value $.025 per share | 04/23/2003 | (2) | Class A Common Stock | 145,000 | (3) | D |
Explanation of Responses: |
1. Edwin Marks ("Mr. Marks") passed away in April 2003. In connection with the distribution of Mr. Marks estate, on April 24, 2003, (i) 217,892 shares of Class A Common Stock, (ii) 212,642 shares of Class B Common Stock and (iii) 145,000 shares of Convertible Participating Preferred Stock then held by Mr. Marks' estate were transferred to Ms. Marks, and Mr. Marks' estate ceased to be the beneficial owner of any of the Issuer's securities. As a result of this transfer, Ms. Marks beneficially owned and had voting and dispositve power over an aggregate (i) 404,304 shares of Class A Common Stock, (ii) 377,304 shares of Class B Common Stock and (iii) 248,520 shares of Convertible Participating Preferred Stock, as of April 24, 2003. |
2. Not applicable. |
3. The Convertible Participating Preferred Stock, par value $.025 per share, is convertible on a share for share basis into Class A Common Stock, par value $.25. |
Remarks: |
Trading symbols are SENEA for the Class A Common Stock and SENEB for the Class B Common Stock. |
/s/ Nancy Marks | 07/22/2009 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |