0000921895-13-002456.txt : 20131213
0000921895-13-002456.hdr.sgml : 20131213
20131213180328
ACCESSION NUMBER: 0000921895-13-002456
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131211
FILED AS OF DATE: 20131213
DATE AS OF CHANGE: 20131213
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FORWARD INDUSTRIES INC
CENTRAL INDEX KEY: 0000038264
STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS PRODUCTS, NEC [3089]
IRS NUMBER: 131950672
STATE OF INCORPORATION: NY
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 1801 GREEN ROAD
STREET 2: SUITE E
CITY: POMPANO BEACH
STATE: FL
ZIP: 33064
BUSINESS PHONE: 9544199544
MAIL ADDRESS:
STREET 1: 1801 GREEN RD
STREET 2: SUITE E
CITY: POMPANO BEACH
STATE: FL
ZIP: 33064
FORMER COMPANY:
FORMER CONFORMED NAME: PROGRESS HEAT SEALING CO INC
DATE OF NAME CHANGE: 19721111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LaGrange Capital Administration, L.L.C.
CENTRAL INDEX KEY: 0001353724
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34780
FILM NUMBER: 131277315
BUSINESS ADDRESS:
STREET 1: 570 LEXINGTON AVENUE, 27TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 218-5154
MAIL ADDRESS:
STREET 1: 570 LEXINGTON AVENUE, 27TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LAGRANGE CAPITAL PARTNERS OFFSHORE FUND LTD
CENTRAL INDEX KEY: 0001302583
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34780
FILM NUMBER: 131277316
BUSINESS ADDRESS:
STREET 1: 73 FRONT ST
CITY: HAMILTON
STATE: A1
ZIP: 000000
BUSINESS PHONE: 212-993-7061
MAIL ADDRESS:
STREET 1: 73 FRONT ST
CITY: HAMILTON
STATE: A1
ZIP: 000000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LaGrange Capital Management, LLC
CENTRAL INDEX KEY: 0001487924
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34780
FILM NUMBER: 131277317
BUSINESS ADDRESS:
STREET 1: 570 LEXINGTON AVENUE
STREET 2: 27TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-993-7055
MAIL ADDRESS:
STREET 1: 570 LEXINGTON AVENUE
STREET 2: 27TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LaGrange Capital Partners LP
CENTRAL INDEX KEY: 0001324023
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34780
FILM NUMBER: 131277318
BUSINESS ADDRESS:
STREET 1: 570 LEXINGTON AVENUE, 27TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 218-5154
MAIL ADDRESS:
STREET 1: 570 LEXINGTON AVENUE, 27TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Johnson Frank L
CENTRAL INDEX KEY: 0001315394
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34780
FILM NUMBER: 131277319
MAIL ADDRESS:
STREET 1: 570 LEXINGTON AVENUE, 27TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: Johnson Frank
DATE OF NAME CHANGE: 20050125
4/A
1
form4a08126001_12132013.xml
OWNERSHIP DOCUMENT
X0306
4/A
2013-12-11
2013-12-13
0
0000038264
FORWARD INDUSTRIES INC
FORD
0001315394
Johnson Frank L
570 LEXINGTON AVENUE, 27TH FLOOR
NEW YORK
NY
10022
1
0
0
1
Member of 13(d) group
0001324023
LaGrange Capital Partners LP
570 LEXINGTON AVENUE, 27TH FLOOR
NEW YORK
NY
10022
0
0
0
1
Member of 13(d) group
0001487924
LaGrange Capital Management, LLC
570 LEXINGTON AVENUE
27TH FL
NEW YORK
NY
10022
0
0
0
1
Member of 13(d) group
0001302583
LAGRANGE CAPITAL PARTNERS OFFSHORE FUND LTD
73 FRONT ST
HAMILTON
A1
000000
BRITISH COLUMBIA, CANADA
0
0
0
1
Member of 13(d) group
0001353724
LaGrange Capital Administration, L.L.C.
570 LEXINGTON AVENUE, 27TH FLOOR
NEW YORK
NY
10022
0
0
0
1
Member of 13(d) group
Forward Industries Restricted Common Stock
2013-12-11
4
A
0
15000
1.59
A
542848
I
By LaGrange Capital Partners, L.P. and LaGrange Capital Partners Offshore Fund, Ltd.
This Form 4 is filed jointly by LaGrange Capital Partners, L.P. ("Capital Partners"), LaGrange Capital Partners Offshore Fund, Ltd. ("Capital Partners Offshore Fund"), LaGrange Capital Management, L.L.C. ("Capital Management"), LaGrange Capital Administration, L.L.C. ("Capital Administration") and Frank L. Johnson. Each of the Reporting Persons is a member of a Schedule 13(d) group with respect to the securities of the Issuer that beneficially owns approximately 6.7% of the Issuer's oustanding shares of common stock. As members of the group, each of the Reporting Persons may be deemed to beneficially own the securities of the Issuer beneficially owned by the other members of the group. Each of the Reporting Persons disclaims beneficial ownership of the securities of the Issuer beneficially owned by the other members of the group except to the extent of his or its pecuniary interest therein.
Shares beneficially owned by Capital Partners. As the general partner of Capital Partners, Capital Management may be deemed to beneficially own the Shares owned beneficially by Capital Partners. As the sole member of Capital Management, Frank L. Johnson may be deemed to beneficially own the Shares beneficially owned by Capital Partners. In addition, as the investment manager of Capital Partners Offshore Fund, Capital Administration may be deemed to beneficially own the Shares beneficially owned by Capital Partners Offshore Fund. As the managing member of Capital Administration, Frank L. Johnson may be deemed to beneficially own the Shares beneficially owned by Capital Partners Offshore Fund.
On December 11, 2013, Frank L. Johnson was granted 15,000 shares of restricted common stock that vest on the anniversary of the date of grant.
/S/ Frank L. Johnson
2013-12-13
/S/ LaGrange Capital Partners, L.P., By LaGrange Capital Management, L.L.C., its General Partner, by Frank L. Johnson, its sole member
2013-12-13
/S/ LaGrange Capital Partners Offshore Fund, Ltd., By LaGrange Capital Administration, L.L.C., its Investment Manager, By Frank L. Johnson, its Managing Member
2013-12-13
/S/ LaGrange Capital Management, L.L.C., By Frank L. Johnson, its sole member
2013-12-13
/S/ LaGrange Capital Administration, L.L.C., By Frank L. Johnson, its Investment Manager
2013-12-13