0000921895-17-002849.txt : 20171213 0000921895-17-002849.hdr.sgml : 20171213 20171213192248 ACCESSION NUMBER: 0000921895-17-002849 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171208 FILED AS OF DATE: 20171213 DATE AS OF CHANGE: 20171213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'CONNELL MICHAEL CENTRAL INDEX KEY: 0001539145 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-10245 FILM NUMBER: 171254915 MAIL ADDRESS: STREET 1: 515 S. FIGUEROA STREET, SUITE 1050 CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vizi Bradley CENTRAL INDEX KEY: 0001556313 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-10245 FILM NUMBER: 171254918 MAIL ADDRESS: STREET 1: 9401 WILSHIRE BLVD, SUITE 705 CITY: BEVERLY HILLS STATE: CA ZIP: 90212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARVEST FINANCIAL CORPORATION CENTRAL INDEX KEY: 0000351952 STATE OF INCORPORATION: PA FISCAL YEAR END: 1200 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-10245 FILM NUMBER: 171254912 BUSINESS ADDRESS: STREET 1: 1600 BENEDUM-TREES BUILDING STREET 2: 223 FOURTH AVENUE CITY: PITTSBURGH STATE: PA ZIP: 15222 BUSINESS PHONE: 412-391-1466 MAIL ADDRESS: STREET 1: 1600 BENEDUM-TREES BUILDING STREET 2: 223 FOURTH AVENUE CITY: PITTSBURGH STATE: PA ZIP: 15222 FORMER NAME: FORMER CONFORMED NAME: HARVEST FINANCIAL CORP /BD DATE OF NAME CHANGE: 20020429 FORMER NAME: FORMER CONFORMED NAME: APPALACHIAN INVESTMENT CORP DATE OF NAME CHANGE: 19860908 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: IRS Partners No. 19, L.P. CENTRAL INDEX KEY: 0001556235 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-10245 FILM NUMBER: 171254917 BUSINESS ADDRESS: STREET 1: 515 S. FIGUEROA STREET, SUITE 1050 CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 225-5303 MAIL ADDRESS: STREET 1: 515 S. FIGUEROA STREET, SUITE 1050 CITY: LOS ANGELES STATE: CA ZIP: 90071 FORMER NAME: FORMER CONFORMED NAME: IRS Partnership No. 19, L.P. DATE OF NAME CHANGE: 20120814 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Leonetti/O'Connell Family Foundation CENTRAL INDEX KEY: 0001556241 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-10245 FILM NUMBER: 171254914 BUSINESS ADDRESS: STREET 1: 515 S. FIGUEROA STREET, SUITE 1050 CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 225-5303 MAIL ADDRESS: STREET 1: 515 S. FIGUEROA STREET, SUITE 1050 CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: M2O, Inc. CENTRAL INDEX KEY: 0001556221 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-10245 FILM NUMBER: 171254916 BUSINESS ADDRESS: STREET 1: 515 S. FIGUEROA STREET, SUITE 1050 CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 225-5303 MAIL ADDRESS: STREET 1: 515 S. FIGUEROA STREET, SUITE 1050 CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Michael F. O'Connell & Margo L. O'Connell Revocable Trust CENTRAL INDEX KEY: 0001556184 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-10245 FILM NUMBER: 171254913 BUSINESS ADDRESS: STREET 1: 515 S. FIGUEROA STREET, SUITE 1050 CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 225-5303 MAIL ADDRESS: STREET 1: 515 S. FIGUEROA STREET, SUITE 1050 CITY: LOS ANGELES STATE: CA ZIP: 90071 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RCM TECHNOLOGIES INC CENTRAL INDEX KEY: 0000700841 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-HELP SUPPLY SERVICES [7363] IRS NUMBER: 951480559 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2500 MCCLELLAN AVENUE STREET 2: STE 350 CITY: PENNSAUKEN STATE: NJ ZIP: 08109-4613 BUSINESS PHONE: 8563564500 MAIL ADDRESS: STREET 1: 2500 MCCLELLAN AVENUE STREET 2: STE 350 CITY: PENNSAUKEN STATE: NJ ZIP: 08109-4613 4/A 1 form4a09050002_12132017.xml OWNERSHIP DOCUMENT X0306 4/A 2017-12-08 2017-12-12 0 0000700841 RCM TECHNOLOGIES INC RCMT 0001556313 Vizi Bradley C/O HARVEST FINANCIAL CORPORATION 1600 BENEDUM-TREES BLDG. 223 FOURTH AVE. PITTSBURGH PA 15222 1 0 1 0 0001556235 IRS Partners No. 19, L.P. 515 S. FIGUEROA STREET SUITE 1050 LOS ANGELES CA 90071 0 0 1 0 0001556221 M2O, Inc. 515 S. FIGUEROA STREET SUITE 1050 LOS ANGELES CA 90071 0 0 1 0 0001539145 O'CONNELL MICHAEL 515 S. FIGUEROA STREET SUITE 1050 LOS ANGELES CA 90071 0 0 1 0 0001556241 Leonetti/O'Connell Family Foundation 515 S. FIGUEROA STREET SUITE 1050 LOS ANGELES CA 90071 0 0 1 0 0001556184 Michael F. O'Connell & Margo L. O'Connell Revocable Trust 515 S. FIGUEROA STREET SUITE 1050 LOS ANGELES CA 90071 0 0 1 0 0000351952 HARVEST FINANCIAL CORPORATION 1600 BENEDUM-TREES BUILDING 223 FOURTH AVENUE PITTSBURGH PA 15222 0 0 1 0 Common Stock, $0.05 par value 2017-12-08 4 A 0 5839 6.85 A 37378 D Common Stock, $0.05 par value 2055065 I See footnotes Common Stock, $0.05 par value 266074 I See footnotes The amendment is being filed solely to add Harvest as a reporting person. This Form 4 is being filed jointly by the reporting persons identified herein (each a "Reporting Person" and collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that owns more than 10% of the Issuer's outstanding shares of Common Stock. 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. IRS Partners No. 19, L.P., a Delaware limited partnership ("IRS 19"), directly owns these shares of common stock ("Common Stock") of RCM Technologies, Inc. (the "Issuer"). M2O, Inc., a California corporation ("M2O"), is the general partner of IRS 19. The Michael F. O'Connell and Margo L. O'Connell Revocable Trust (the "Trust") is the sole voting shareholder of M2O and Michael O'Connell, an individual, controls all investment decisions with respect to the Trust. IRS 19, M2O, the Trust and Mr. O'Connell may therefore be deemed to have shared voting and dispositive power over the Common Stock owned by IRS 19. The Leonetti/O'Connell Family Foundation, a Delaware non-profit corporation (the "Foundation"), directly owns these shares. The investment decisions of the Foundation are controlled by Mr. O'Connell (Mr. O'Connell, collectively with IRS 19, the Foundation, M2O and the Trust, the "O'Connell Entities") and by virtue of such relationship, the Foundation and Mr. O'Connell may be deemed to have shared voting and dispositive power over the Common Stock owned by the Foundation. IRS 19, M2O and the Trust disclaim beneficial ownership of the Common Stock of the Issuer owned by the Foundation except to the extent of their pecuniary interest therein. The Foundation disclaims beneficial ownership of the shares of Common Stock of the Issuer owned by IRS 19 except to the extent of its pecuniary interest therein. IRS 19 and the Foundation have each entered into an investment advisory agreement with Harvest Financial Corporation ("Harvest"), pursuant to which Bradley Vizi ("Mr. Vizi") on behalf of Harvest, exclusively manages IRS 19's and the Foundation's investment in the Issuer and has certain discretion with respect to purchase and sales of Common Stock of the Issuer. As a result, Harvest and Mr. Vizi may be deemed to have shared dispositive power with respect to the shares held by IRS 19 and the Foundation. Harvest and Mr. Vizi each disclaims beneficial ownership of shares of Common Stock of the Issuer owned by each other except to the extent of his or its pecuniary interest therein. Granted in the form of restricted stock units (RSUs) as compensation for service on the Board of Directors. The RSUs will vest on December 8, 2018. Includes 6,250 RSUs that vested on 12/27/16 and 8,000 RSUs that vested on 12/3/16. Effective with the termination of that certain investment advisory agreement dated October 5, 2012 among Legion Partners Asset Management, LLC ("Legion Partners"), IRS 19 and the Foundation, each of Legion Partners and Christopher Kiper ceased to be a member of a Section 13(d) group with the other reporting persons identified herein and ceased to be a reporting person hereunder. Effective with the execution of that certain investment advisory agreement dated November 15, 2017 among Harvest, Mr. Vizi, IRS 19 and the Foundation, Harvest became a reporting person hereunder. 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 2017-12-13 /s/ Bradley S. Vizi 2017-12-13 M2O, INC.; By: /s/ Bradley S. Vizi as Attorney-in-Fact for Michael O'Connell, Chief Executive Officer 2017-12-13 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 2017-12-13 The Michael F. O'Connell and Margo L. O'Connell Revocable Trust; By: /s/Bradley S. Vizi as Attorney-in-Fact for Michael O'Connell, Trustee 2017-12-13 /s/Bradley S. Vizi as Attorney-in-Fact for Michael O'Connell 2017-12-13 /s/Frank D. Ruscetti as President of Harvest Financial Corporation 2017-12-13