0001567619-20-001241.txt : 20200117
0001567619-20-001241.hdr.sgml : 20200117
20200117162624
ACCESSION NUMBER: 0001567619-20-001241
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200116
FILED AS OF DATE: 20200117
DATE AS OF CHANGE: 20200117
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vizi Bradley
CENTRAL INDEX KEY: 0001556313
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-10245
FILM NUMBER: 20533887
MAIL ADDRESS:
STREET 1: 10390 WILSHIRE BLVD
STREET 2: SUITE 406
CITY: LOS ANGELES
STATE: CA
ZIP: 90024
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-10245
FILM NUMBER: 20533888
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: O'CONNELL MICHAEL
CENTRAL INDEX KEY: 0001539145
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-10245
FILM NUMBER: 20533889
MAIL ADDRESS:
STREET 1: 515 S. FIGUEROA STREET, SUITE 1050
CITY: LOS ANGELES
STATE: CA
ZIP: 90071
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-10245
FILM NUMBER: 20533890
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-10245
FILM NUMBER: 20533891
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: M2O, Inc.
CENTRAL INDEX KEY: 0001556221
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-10245
FILM NUMBER: 20533892
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: Leonetti/O'Connell Family Foundation
CENTRAL INDEX KEY: 0001556241
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-10245
FILM NUMBER: 20533893
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: 1228
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
1
doc1.xml
FORM 4
X0306
4
2020-01-16
0
0000700841
RCM TECHNOLOGIES INC
RCMT
0001556313
Vizi Bradley
10390 WILSHIRE BLVD
SUITE 406
LOS ANGELES
CA
90024
1
1
1
0
Executive Chairman & President
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
0001539145
O'CONNELL MICHAEL
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
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
0001556241
Leonetti/O'Connell Family Foundation
515 S. FIGUEROA STREET, SUITE 1050
LOS ANGELES
CA
90071
0
0
1
0
Common Stock
2020-01-16
4
A
0
40000
0.00
A
162526
D
Common Stock
2020-01-16
4
A
0
150000
0.0
A
312526
D
Common Stock
2692065
I
See Footnotes
Common Stock
266074
I
See Footnotes
1. 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.
1. 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.
1. 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.
1. 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.
Represent shares acquired by the reporting person upon the vesting of performance stock units granted to the reporting person in March 2019 and previously reported in a Current Report on Form 8-K filed by the issuer in March 2019.
Granted in the form of restricted stock units as employment compensation, and subject to vesting in three equal installments on first three anniversaries of the date of grant.
Includes 3,000 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16.
Includes 35,000 restricted stock units that vested in 2019 and 2020; these restricted stock units were reflected in footnote 5 to the reporting person's Form 4 filed on March 18, 2019.
Bradley S. Vizi
2020-01-17
/s/ Frank D. Ruscetti as Executive Chairman of Harvest Financial Corporation
2020-01-17
/s/ Bradley S. Vizi s Attorney-in-Fact for Michael O'Connell
2020-01-17
The Michael F. O'Connell & Margo L. O'Connell Revocable Trust; By: /s/ Bradley S. Vizi as Attorney-in-Fact for Michael O'Connell, Trustee
2020-01-17
M2O, Inc.; By: /s/ Bradley S. Vizi as Attorney-in-Fact for Michael O'Connell, Chief Executive Officer
2020-01-17
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
2020-01-17
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
2020-01-17