-----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, Pq7ogmA4Uev62dGkbdAtoOAqUVmli58WebuIxyHu9i9Qst5TE0DVy+9fJD3yt2UB 5v3o+NpZ8JucM6U5vfZimA== 0000891020-97-000147.txt : 19970222 0000891020-97-000147.hdr.sgml : 19970222 ACCESSION NUMBER: 0000891020-97-000147 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: REDHOOK ALE BREWERY INC CENTRAL INDEX KEY: 0000892222 STANDARD INDUSTRIAL CLASSIFICATION: MALT BEVERAGES [2082] IRS NUMBER: 911141254 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49527 FILM NUMBER: 97529203 BUSINESS ADDRESS: STREET 1: 3400 PHINNEY AVE N CITY: SEATTLE STATE: WA ZIP: 98103 BUSINESS PHONE: 2065488000 MAIL ADDRESS: STREET 1: 3400 PHINNEY AVE N CITY: SEATTLE STATE: WA ZIP: 98103 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SHIPMAN PAUL S CENTRAL INDEX KEY: 0001008383 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3400 PHINNEY AVE NORTH CITY: SEATTLE STATE: WA ZIP: 98103 BUSINESS PHONE: 2065488000 MAIL ADDRESS: STREET 1: 3400 PHINNEY AVENUE CITY: SEATTLE STATE: WA ZIP: 98103 SC 13G/A 1 SCHEDULE 13G/A 1 OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response...14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* REDHOOK ALE BREWERY, INCORPORATED ----------------------------------------- (Name of Issuer) COMMON STOCK ----------------------------------------- (Title of Class of Securities) 757473 10 3 ----------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 5 pages 2 CUSIP NO. 757473 10 3 13G PAGE 2 OF 5 PAGES --------------------- ----- ----- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Paul S. Shipman --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] --------------------------------------------------------------------- 3 SEC USE ONLY --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. --------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 485,300 SHARES -------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 13,300 EACH -------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 485,300 -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 13,300 -------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 498,600 --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.4% --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- 3 SCHEDULE 13G
Item 1(a). Name of Issuer: REDHOOK ALE BREWERY, INCORPORATED Item 1(b). Address of Issuer's Principal Executive Offices: 3400 PHINNEY AVENUE NORTH, SEATTLE, WA 98103 Item 2(a). Name of Person Filing: PAUL S. SHIPMAN Item 2(b). Address of Principal Business Office or, if None, Residence: 3400 PHINNEY AVENUE NORTH, SEATTLE, WA 98103 Item 2(c). Citizenship: U.S.A. Item 2(d). Title of Class of Securities: COMMON STOCK Item 2(e). CUSIP Number: 757473 10 3 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: NOT APPLICABLE. Item 4. Ownership.
If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount beneficially owned: 498,600* (b) Percent of class: 6.4% Page 3 of 5 4
(c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 485,300* (ii) Shared power to vote or to direct the vote: 13,300 (iii) Sole power to dispose or direct the disposition of: 485,300* (iv) Shared power to dispose or to direct the disposition of: 13,300 *Includes 65,000 shares subject to an option exercisable within 60 days of December 31, 1996. 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. NOT APPLICABLE. Item 9. Notice of Dissolution of Group. NOT APPLICABLE. Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect.
Page 4 of 5 5 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 7, 1997 /s/ PAUL S. SHIPMAN ---------------------------------- Paul S. Shipman Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----