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