-----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, L/fAi2cvWFur3gQSldDs+tHDqRe7NJqlaYVNr8PSscriiM993n838JKzB7n/gSrz Wwqlf2rF+PzR3v7Nz+/vgA== 0001108890-03-000529.txt : 20031218 0001108890-03-000529.hdr.sgml : 20031218 20031218133131 ACCESSION NUMBER: 0001108890-03-000529 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20031218 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPECTRUM ORGANIC PRODUCTS INC CENTRAL INDEX KEY: 0001034992 STANDARD INDUSTRIAL CLASSIFICATION: CANNED, FRUITS, VEG & PRESERVES, JAMS & JELLIES [2033] IRS NUMBER: 943076294 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-53417 FILM NUMBER: 031061844 BUSINESS ADDRESS: STREET 1: 5341OLD REDWOOD HIGHWAY STREET 2: 4TH FLOOR CITY: PETALUMA STATE: CA ZIP: 94954 BUSINESS PHONE: 7077788900 MAIL ADDRESS: STREET 1: 5341 OLD REDWOOD HIGHWAY STREET 2: 4TH FLOOR CITY: PETALUMA STATE: CA ZIP: 94954 FORMER COMPANY: FORMER CONFORMED NAME: ORGANIC FOOD PRODUCTS INC DATE OF NAME CHANGE: 19970304 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BATTENDIERI JOHN CENTRAL INDEX KEY: 0001055402 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 600 OLIVE SPRINGS RD CITY: SOQUEL STATE: CA ZIP: 95073 BUSINESS PHONE: 4084768091 MAIL ADDRESS: STREET 1: 600 OLIVE SPRINGS RD CITY: SOQUEL STATE: CA ZIP: 95073 SC 13D 1 form13dbattendieri120403.txt DATED 12-04-03 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 SPECTRUM ORGANIC PRODUCTS, INC. (Name of Issuer) No Par Value Common Stock (Title of Class of Securities) 685928103 (CUSIP Number) John Battendieri c/o Running Stream Food & Beverage, Inc. 804 Estates Drive, Suite 200 Aptos, CA 95003 (831) 685-1648 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) 12/4/03 ----------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box |_|. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss. 240.13d-7(b) for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. The information required on 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). SCHEDULE 13D - ------------------------- CUSIP No. 685928103 - ------------------------- - ------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: John Battendieri S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: ###-##-#### - ------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - ------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) - ------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------- 7 SOLE VOTING POWER 3,874,999 NUMBER OF ------------------------------------------------- SHARES 8 SHARED VOTING POWER 0 BENEFICIALLY OWNED BY EACH ------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER 3,874,999 PERSON WITH ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,874,999 - ------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.4% - ------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - ------------------------------------------------------------------------- 2 Item 1. Security and Issuer No par value common stock of Spectrum Organic Products, Inc., with its principal executive offices at 5341 Old Redwood Highway, Suite 400, Petaluma, California 94954. Item 2. Identity and Background (a) John Battendieri (b) c/o Running Stream Food & Beverage, Inc., 804 Estates Drive, Suite 200, Aptos, CA 95003 (c) Mr. Battendieri is the founder and CEO of Running Stream Food & Beverage, Inc., with its principal business offices located at 804 Estates Drive, Suite 200, Aptos, CA 95003 and a Non-executive Director of Spectrum Organic Products, Inc., with its principal executive offices located at 5341 Old Redwood Highway, Suite 400, Petaluma, CA 94954. (d) None (e) None (f) U.S.A. Item 3. Source and Amount of Funds or Other Consideration Not applicable Item 4. Purpose of Transaction Not applicable Item 5. Interest in Securities of the Issuer (a) The aggregate amount of securities beneficially owned by Mr. Battendieri as of the date of this filing is 3,874,999 shares, which represents 8.4% of the total class. In addition, Mr. Battendieri holds non-qualified stock options representing the right to buy 100,000 shares, of which 53,333 shares were exercisable at the date of this filing. (b) Sole voting power - 3,874,999 Shared voting power - 0 Sole disposal power - 3,874,999 Shared disposal power - 0 3 (c) Since the last filing on Schedule 13G/A for Mr. Battendieri dated October 25, 1999, the following sales of securities have occurred: ------------------- ----------- --------------- --------------------- Date of Transaction Shares Sold Price per Share Nature of Transaction ------------------- ----------- --------------- --------------------- October 19, 2001 100,000 $0.01 Private sale ------------------- ----------- --------------- --------------------- August 23, 2002 2,500 $0.50 Open market sale ------------------- ----------- --------------- --------------------- December 4, 2003 100,000 $0.63 Open market sale ------------------- ----------- --------------- --------------------- (d) Not applicable (e) Not applicable Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. None Item 7. Material to Be Filed as Exhibits None 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. December 15, 2003 /s/ John Battendieri ----------------------------------- John Battendieri 4 -----END PRIVACY-ENHANCED MESSAGE-----